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3 effective ways for advisors to engage with, and win over, the next generation
OPINION APR 07, 2023
3 effective ways for advisors to engage with, and win over, the next generation

Most financial advisors aren't prepared for the next generation, and many wealthy heirs will be looking to move.

Investment analysis AI raises $3 million
FINTECH APR 06, 2023
Investment analysis AI raises $3 million

Portrait Analytics believes its AI will eventually be able to do everything a junior investment analyst can do.

Robinhood to pay states $10.2 million over outages prior to meme stock frenzy
FINTECH APR 06, 2023
Robinhood to pay states $10.2 million over outages prior to meme stock frenzy

A multistate investigation of the problems in 2020 cited Robinhood for technology failures as well as lack of diligence in approving options trading.

Advisor Group to rebrand — more to follow
BROKER DEALERS APR 06, 2023
Advisor Group to rebrand — more to follow

It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.

Redtail integrates with Flourish, Morningstar partners with Asset-Map
FINTECH APR 06, 2023
Redtail integrates with Flourish, Morningstar partners with Asset-Map

Cash management fintech Flourish can now pull client data directly from Redtail's CRM system to prefill application forms, while Morningstar will integrate Asset-Map client engagement technologies.

Insurance fintech adds long-term care products
RETIREMENT PLANNING APR 05, 2023
Insurance fintech adds long-term care products

Modern Life is adding long-term care and hybrid long-term care products to its menu of insurance for financial advisors.

Goldman ordered to pay $3 million for mismarking ‘short’ sales as ‘long’
PRACTICE MANAGEMENT APR 05, 2023
Goldman ordered to pay $3 million for mismarking ‘short’ sales as ‘long’

Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.

$10.8 billion First Republic team bolts to Morgan Stanley
PRACTICE MANAGEMENT APR 05, 2023
$10.8 billion First Republic team bolts to Morgan Stanley

The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.

Guiding clients through market volatility and inflation
OPINION APR 05, 2023
Guiding clients through market volatility and inflation

When things change, recency bias would have us wait rather than move forward.

Millions flow to Girls Who Invest
PRACTICE MANAGEMENT APR 05, 2023
Millions flow to Girls Who Invest

Investment firms are re-upping their investment in college women through new donations to the summer immersion program.

Fintech guarantees it can help advisors convert at least one prospect in 90 days, or their money back
FINTECH APR 05, 2023
Fintech guarantees it can help advisors convert at least one prospect in 90 days, or their money back

Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.

Financial literacy starts at home
OPINION APR 05, 2023
Financial literacy starts at home

Treat staff like clients and inform them with the best thinking about financial planning. You'll help them achieve their goals — and yours.

Sustainable investing advocate US SIF names new policy director
PRACTICE MANAGEMENT APR 04, 2023
Sustainable investing advocate US SIF names new policy director

The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.

LPL snags $850 million Securian team in wake of Cetera deal
BROKER DEALERS APR 04, 2023
LPL snags $850 million Securian team in wake of Cetera deal

Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.

Sustainable fund advisor Mirova US gets new CEO
PRACTICE MANAGEMENT APR 03, 2023
Sustainable fund advisor Mirova US gets new CEO

Zineb Bennani has worked for parent firm Natixis since 2005.

Potential investor claims go through the roof at Berthel Fisher
ALTERNATIVES APR 03, 2023
Potential investor claims go through the roof at Berthel Fisher

Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.

Top 10 financial advice firms ranked by investor satisfaction in 2023
PRACTICE MANAGEMENT APR 03, 2023
Top 10 financial advice firms ranked by investor satisfaction in 2023

Investors’ happiness with their advisors took a hit last year as the stock market dived, according to J.D. Power’s annual survey.

A different kind of financial literacy
PRACTICE MANAGEMENT APR 03, 2023
A different kind of financial literacy

An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.

Custody, compliance and tech lay the foundation for going independent
RIAS MAR 31, 2023
Custody, compliance and tech lay the foundation for going independent

An expansive network of platforms and services has evolved that's designed to support breakaway brokers.

Andy Sieg leaves Merrill to rejoin Citigroup
PRACTICE MANAGEMENT MAR 30, 2023
Andy Sieg leaves Merrill to rejoin Citigroup

He is being replaced at Merrill Lynch by Lindsay Hans and Eric Schimpf, who have been appointed presidents and co-heads of Merrill Wealth Management.