An Austin, Texas-based investment adviser has been charged with defrauding investors in a scheme that used former National Football League players to promote offerings in an insurance company.
Software and IT services giant SunGard Data Systems Inc. has partnered with four third-party administrators including: APA Benefits Inc., CMC Interactive LLC, Ingham Retirement Group, and KTRADE to provide<a href="http://sungard.com/financialsystems/productofferings/wmexchgtradfundssolution.aspx" target=”_blank”> SunGard's Exchange Traded Funds solution</a> launched in July in conjunction with iShares.
Advent Software Inc. unveiled version 3.0 of its Advent Revenue Center product today.
State securities regulators today reported a drop in deficiencies in their latest inspections of investment advisers.
Back in May, we introduced you to <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20090501/REG/905019982&ht=SimpliFi"" target="”_blank”" rel="noopener noreferrer">Sophie</a>, SimpliFi's free virtual financial planner. Well, Sophie's grown up since then. As of today, she's gotten a lot more sophisticated, at least for the customers of financial institutions such as credit unions and banks that provide SimpliFi LLC's Planning Service Plus to their customers.
For good reason, most financial advisers prefer internal to external transitions when planning their business' succession.
In an effort to attract stockbrokers who are migrating to a fee-based advisory practice, First Allied Securities Inc., this week will introduce a “hybrid” operational platform that has been engineered by Pershing LLC.
I'm willing to bet that a number of advisers have a venerable Texas Instruments Inc.<a href="//education.ti.com/educationportal/sites/US/productDetail/us_baii_plus.html"" target="”_blank”" rel="noopener noreferrer">BA II</a> calculator either sitting on their desk, or in a nearby drawer. I'd also be willing to bet that most of you are too self-conscious to be seen in public with it.
In an effort to attract stockbrokers migrating to a fee-based advisory practice, First Allied Securities Inc., next week will introduce a “hybrid” operational platform that has been engineered by Pershing LLC.
Streamlined business practices help you become more efficient, and last week we explained how segmenting <a href=http://www,investmentnews.com/article/20090831/REG/908319974>your client base</a> can lead to a more efficient process for conducting client reviews this fall. The tiering method we outlined has worked well for many advisers. Simply following last week's steps can translate into completing your client segmentation in about two hours.
StreetSmart CRM to offer conference calling feature I'll soon be taking a fresh look at <a href="http://www.investmentnews.com/apps/pbcs.dll/section?category=INTechnologyNews03&IssueDate=20080415" target=”_blank”>customer relationship management</a> software and software-as-a-service providers, and one that a few advisers have asked me about is StreetSmart from InfoStreet Inc.
TD Ameritrade Institutional today will take the wraps off a new web-based tool designed to help potential breakaway brokers decide whether to join or start a registered investment advisory firm.
A startling number of older adults either lack the cognitive abilities to manage their finances or delegate that responsibility to others — a finding that could have implications for plan executives and other fiduciaries as a wave of wealthy Americans approach retirement.
In what may be a first, a Native American tribe is buying a broker-dealer and money manager, with a plan to win business by using its status as a minority-owned firm to appeal to Native American investors.
Before deciding where to wine and dine your significant other, chances are you will take a gander at a restaurant review or two online.
To date, Tamarac Inc. has been known for its re-balancing and trade order generation platform, but that is about to change. The company is simultaneously making two announcements.
Version 8 of Junxure <a href="//www.investmentnews.com/apps/pbcs.dll/article?AID=/20080415/REG/147477097/1102/INTechnologyNews03"" target="”_blank”" rel="noopener noreferrer">customer relationship management</a> software and Junxure Mobile, a separate product that will provide advisers on-the-go access to their CRM database, are slated to be released soon.
In what may be a first, a tribe of Native Americans is buying a broker-dealer and money manager, with a plan to win business by using its status as a minority-owned firm to appeal to Native American investors.
Schwab Institutional last week unveiled a significant redesign of its website for financial advisers.
