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SEC warns advisors about disclosures for testimonials in exam alert
PRACTICE MANAGEMENT JUN 09, 2023
SEC warns advisors about disclosures for testimonials in exam alert

The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.

Charles Schwab updates direct indexing technology for RIAs
FINTECH JUN 09, 2023
Charles Schwab updates direct indexing technology for RIAs

The technology is increasingly seen as table stakes for firms supporting financial advisors.

10 IBDs that earned the most fees in 2022
BROKER DEALERS JUN 09, 2023
10 IBDs that earned the most fees in 2022

As independent broker-dealers’ shift toward fee revenue continued last year, here are the firms that earned the most in fees.

Industry groups ask SEC to extend timeline for cyberbreach notifications
FINTECH JUN 08, 2023
Industry groups ask SEC to extend timeline for cyberbreach notifications

The Investment Adviser Association and SIFMA say a proposed 30-day requirement is too short. But Better Markets says it should be shortened to 14 days.

Wealthfront introduces automated bond portfolio
FINTECH JUN 08, 2023
Wealthfront introduces automated bond portfolio

Wealthfront says its portfolio uses a mix of Treasury and corporate bond ETFs and can achieve an annual return of 5.48% after its 0.25% fee.

Can Goldman Sachs and Citigroup catch up on hiring advisors?
PRACTICE MANAGEMENT JUN 08, 2023
Can Goldman Sachs and Citigroup catch up on hiring advisors?

Both banks have recently signaled their interest in bolstering their wealth management operations, but they can't snap their fingers and conjure financial advisors from thin air.

LPL nabs Edward Jones duo in Tennessee
BROKER DEALERS JUN 08, 2023
LPL nabs Edward Jones duo in Tennessee

Todd Rosel and Larry D. Smith oversee $310 million in assets and are combining their practices to form a new firm, Integrity Wealth Advisor Group.

Altruist names former Pixar, Blend exec as new CFO
FINTECH JUN 08, 2023
Altruist names former Pixar, Blend exec as new CFO

Marc Greenberg most recently worked at Blend, a white-label fintech that banks use to build consumer-facing digital products.

Sales is not a dirty word
OPINION JUN 07, 2023
Sales is not a dirty word

If you’re a fiduciary, the better you are at subtle persuasion, the better off your clients will be.

Unlocking the secret to luring Gen Z into the advisory industry
PRACTICE MANAGEMENT JUN 07, 2023
Unlocking the secret to luring Gen Z into the advisory industry

Emotionally engaging experiences will inspire interns to continue in the financial advisory profession.

Retire and remain: Sellers seek greater flexibility in succession planning
OPINION JUN 07, 2023
Retire and remain: Sellers seek greater flexibility in succession planning

While some advisors choose to sell their practices and retire, others wish to remain for a specific time and work for the new owners.

Pershing X moves into the fintech lane with new Wove platform
CUSTODIAN JUN 06, 2023
Pershing X moves into the fintech lane with new Wove platform

The multicustodial open architecture platform promises to connect the various applications advisors use to service clients.

LTX launches AI-powered tool to help US bond traders
FINTECH JUN 06, 2023
LTX launches AI-powered tool to help US bond traders

BondGPT, which uses OpenAI technology to help power its bond analytics, will help traders find more liquid bonds at a better price.

The 11 hottest markets for next-gen advisors
PRACTICE MANAGEMENT JUN 06, 2023
The 11 hottest markets for next-gen advisors

InvestmentNews used Bureau of Labor Statistics data to calculate future demand for advisors and identify metropolitan areas that will need a substantial number of new advisors.

How two advisor tech companies battled it out in patent court
FINTECH JUN 05, 2023
How two advisor tech companies battled it out in patent court

Both CellTrust and ionLake provide compliant text messaging and archiving for advisors. CellTrust accused ionLake of violating its patents, but the jury disagreed.

Advisor Group hires Dynasty co-founder Ed Swenson to lead RIA channel
RIAS JUN 05, 2023
Advisor Group hires Dynasty co-founder Ed Swenson to lead RIA channel

The independent broker-dealer is developing different channel strategies as part of its rebranding, and RIAs are a big part of that.

Dave Ramsey sued by listeners over failed promises of advertiser
PRACTICE MANAGEMENT JUN 05, 2023
Dave Ramsey sued by listeners over failed promises of advertiser

The lawsuit seeks $150 million in damages from the radio host over ads for a timeshare exit business that listeners say failed to extricate them from timeshare contracts.

Alex. Brown adds Morgan Stanley advisor managing $509 million
BROKER DEALERS JUN 05, 2023
Alex. Brown adds Morgan Stanley advisor managing $509 million

Miami-based Eva Marina Ovejero has more than two decades of experience.

Advisor managing $475 million at Bank of America Private Bank joins LPL
BROKER DEALERS JUN 05, 2023
Advisor managing $475 million at Bank of America Private Bank joins LPL

Amy Lawrence is launching Gorilla Investments Co. in Miami.

The ‘AUM illusion’ and organic growth
RIAS JUN 05, 2023
The ‘AUM illusion’ and organic growth

Having more people know what you can do for them rather than what they can do for you could be a route to growth that suits many advisors.