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Franklin Templeton makes ESG hire from CalPERS
RETIREMENT PLANNING MAR 27, 2023
Franklin Templeton makes ESG hire from CalPERS

James Andrus had been at the pension system since 2014 and most recently served as its interim managing investment director for sustainable investing.

Look before leaping onto platforms offering elevated FDIC-insured deposits
RIAS MAR 24, 2023
Look before leaping onto platforms offering elevated FDIC-insured deposits

Fintech firms are falling over themselves to court cash deposits, with both Betterment and SoFi announcing expanded FDIC coverage over the past week.

Welcome to the golden age of AI
OPINION MAR 24, 2023
Welcome to the golden age of AI

For financial advisors, artificial intelligence can lead to deeper insights as AI models parse massive data sets, seeking meaningful patterns and signals amid millions of data points.

Absolute Engagement launches fintech to digitize client feedback
FINTECH MAR 24, 2023
Absolute Engagement launches fintech to digitize client feedback

The Absolute Engagement Engine captures real-time input from prospects and clients as they interact with a wealth management firm.

Citi sues advisor who jumped to Morgan Stanley over $636 million book
PRACTICE MANAGEMENT MAR 24, 2023
Citi sues advisor who jumped to Morgan Stanley over $636 million book

Citi alleges Steven Taub is violating a 12-month nonsolicitation agreement and has already convinced clients to move more than $100 million.

Picking an advisor who will stand the test of time
PRACTICE MANAGEMENT MAR 23, 2023
Picking an advisor who will stand the test of time

Cultivating loyalty with both members of a married couple requires that the advisor follow the same approach that leads to a successful marriage.

Former advisor, financial planner charged with defrauding NBA players
PRACTICE MANAGEMENT MAR 23, 2023
Former advisor, financial planner charged with defrauding NBA players

Four people face federal indictments in the scheme, and the former advisor is being charged by the SEC.

SEC’s dive into messaging apps poses new compliance challenge
FINTECH MAR 23, 2023
SEC’s dive into messaging apps poses new compliance challenge

The agency's document requests seek details on how firms monitor, review and retain 'off-channel' communications — all the way up to the senior executive level.

Crack appears in First Republic wealth management business
PRACTICE MANAGEMENT MAR 23, 2023
Crack appears in First Republic wealth management business

Vishal Bakshi, an advisor who reportedly has $1.5 billion in client assets, left to join Morgan Stanley late last week, after signing on at First Republic less than a year ago.

GeoWealth investment platform expands down-market with deal for First Ascent
RIAS MAR 23, 2023
GeoWealth investment platform expands down-market with deal for First Ascent

The First Ascent Asset Management TAMP will operate as a separately branded subsidiary of GeoWealth.

The latest in financial #AdvisorTech — March 2023
FINTECH MAR 22, 2023
The latest in financial #AdvisorTech — March 2023

This month's highlights include Conquest's fundraising to prepare for its expansion into the US, Asset-Map's $6 million in Series B funding, and Wells Fargo's debut of app-based tool LifeSync.

Program brings financial planning to Chicago  working families
PRACTICE MANAGEMENT MAR 22, 2023
Program brings financial planning to Chicago working families

The program aims to infuse social service programs with information about long-term financial and career goals.

Finra slaps B-D with $180,000 fine over former advisor's sale of Ponzi
BROKER DEALERS MAR 22, 2023
Finra slaps B-D with $180,000 fine over former advisor's sale of Ponzi

The rep at Hornor Townsend & Kent sold securities known as Future Income Payments; according to the Department of Justice, that was a nationwide Ponzi scheme.

M&A and succession planning in a time of high inflation, rising rates
OPINION MAR 22, 2023
M&A and succession planning in a time of high inflation, rising rates

Advisors looking to sell their practices can still get fair value for their life’s work, but they should avoid overly complicated deals and do their homework to find the right buyer.

How financial advisors can capitalize on the metaverse
OPINION MAR 21, 2023
How financial advisors can capitalize on the metaverse

Here are a few steps to consider before embarking on large-scale investments in the virtual landscape.

Fintech CapIntel adds ESG data as it pushes US expansion
FINTECH MAR 21, 2023
Fintech CapIntel adds ESG data as it pushes US expansion

The Toronto-based firm's new offering uses ESG data from MSCI to provide ratings, scores and various metrics for funds, portfolios and individual stocks.

First Republic hiring spree focused on these four firms
RIAS MAR 21, 2023
First Republic hiring spree focused on these four firms

Almost half the financial advisors hired by First Republic since 2010 came from Wells Fargo Advisors, J.P. Morgan Securities, UBS Financial Services and Morgan Stanley.

Native women launch on-ramp to asset management
PRACTICE MANAGEMENT MAR 21, 2023
Native women launch on-ramp to asset management

A coalition of women's groups has opened a new apprenticeship program to draw Native American women into asset management, private equity and venture capital.

Broadridge partners with Apex Silver on integrated tax reporting
FINTECH MAR 21, 2023
Broadridge partners with Apex Silver on integrated tax reporting

The new service combines tax data and cost-basis reporting into a single offering for banks, broker-dealers and custodians.

CFP Board launches new round of ads to promote credential
PRACTICE MANAGEMENT MAR 20, 2023
CFP Board launches new round of ads to promote credential

The organization urges viewers to hire a CFP — 'It's gotta be a CFP' — in its most direct appeal since the public awareness campaign launched more than a decade ago.