The SEC has hired more and better professional examiners and any new registrants or any adviser who hasn't been vetted in the last 10 years "will be getting a visit this year," securities lawyer Thomas Giachetti said Monday at the Schwab Impact Conference..
Wealthbase, a new web and mobile application, connects advisers to consumers using algorithms that make matches based on expertise, location and availability. Wealthbase uses contextual links, the stock in trade of content marketers, to lead consumers from the website articles that they are reading to a live question-and-answer session with advisers.
The physician and financial planner on what advisers need to know about new health insurance choices
Open-enrollment for new state and federal insurance has begun, but many sites have long-loading times
Two consulting firms are linking together to provide a new coaching program.
From tech systems advisory firms plan to replace to what social networks indie brokers say they use the most, here are five big technology trends impacting independent broker-dealers.
The new iPad and hot apps may catch all the attention, but advisers need to focus on substance, rather than sizzle
Halloween is approaching and that means it's scary movie season. For many RIA firms, though, technology horrors aren't reserved for October. Check out some cautionary technology tales from the crypt.
Why RIA firms probably shouldn't try to become software companies — unless they want to become software companies.
Business owners often save less for retirement; advisers can help them diversify beyond the store.
Advisers share their tips on how to broach the subject of new asset classes and strategies
Wirehouses largely back recruiting incentive regulation but IBDs oppose it.
Institutional users now caught up to retail customers who have embraced the technology.
Stress and anxiety are at all-time highs among investors in the United States, which can make it difficult to work with clients who are overwhelmed by lurching from crisis to crisis. There are some things advisers can do to help stressed-out clients though, such as focusing on the big picture, said John Diehl, senior vice president of the Hartford Funds.
As technology improves and compliance fears ease, more firms are drafting more liberal policies for LinkedIn, Facebook — even Twitter
Plus a look at a startup challenging video conferencing giants and how Junxure's cloud-based CRM is shaping up.
<i>The following is an edited transcript of the July 19 webcast “Adviser Tech 2012: What Should You Buy Next?” <a href=http://www.investmentnews.com/dcce/20110719/18/18/ACTIVE_WEBCAST/2590580>Listen to the archived version here.</a> The webcast was moderated by </i>InvestmentNews<i> technology reporter and columnist Davis D. Janowski.</i> The panelists were Jude Boudreaux, Founder and Owner of Upperline Financial Planning LLC, Sabrina F. Lowell, Associate Adviser, Mosaic Financial Partners, Inc., and LeGrand S. Redfield, Jr., President, Asset Management Group, Inc.</i>
Josh Brown on how best to use social media to broadcast your content and make it easy for readers &mdash; and clients &mdash; to find you again and again.
Advisory firms — particularly large and growing ones — are considering the addition of a chief risk officer to stay on the level.
