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Please don't make me download your conference app
FINTECH MAR 30, 2023
Please don't make me download your conference app

It's doubtful many advisors are doing the same due diligence into who produces conference apps and what safeguards are in place that they do with other pieces of their tech stack.

Women gaining traction on investing results, intentions
PRACTICE MANAGEMENT MAR 30, 2023
Women gaining traction on investing results, intentions

Women achieve better results than men when they make direct investments.

T. Rowe Price buying Retiree Inc. to enhance retirement offerings
RETIREMENT PLANNING MAR 30, 2023
T. Rowe Price buying Retiree Inc. to enhance retirement offerings

The investment manager said Retiree’s software will bolster its existing capabilities to create a more comprehensive suite of retirement income solutions.

As RIA industry swells, advisors discover pros and cons of growth
RIAS MAR 30, 2023
As RIA industry swells, advisors discover pros and cons of growth

According to the latest report from Schwab Advisor Services, RIAs need to jump on the growth train in order to keep pace.

Cetera to advisors: Selling your practice requires our OK
BROKER DEALERS MAR 29, 2023
Cetera to advisors: Selling your practice requires our OK

If financial advisors don't seek the firm's approval, they risk running afoul of securities regulators, Cetera said.

Credit Suisse still helping Americans dodge taxes, Senate panel says
PRACTICE MANAGEMENT MAR 29, 2023
Credit Suisse still helping Americans dodge taxes, Senate panel says

The committee uncovered 'major violations' of the $2.6 billion plea deal Credit Suisse reached with the Justice Department in 2014, according to a report.

SEC faults new advisors for compliance shortcomings
PRACTICE MANAGEMENT MAR 28, 2023
SEC faults new advisors for compliance shortcomings

The agency's examinations found programs weren't tailored to business models and were inadequately funded.

First Republic sees more financial advisors walk
PRACTICE MANAGEMENT MAR 28, 2023
First Republic sees more financial advisors walk

The San Francisco-based Marchetti Porter Wealth Partners jumped ship over the weekend.

Envestnet adds three board members to avert proxy contest
PRACTICE MANAGEMENT MAR 28, 2023
Envestnet adds three board members to avert proxy contest

Lauren Taylor Wolfe, co-founder and managing partner of activist hedge fund Impactive Capital, has joined Envestnet’s board.

3 reasons advisory firms don't grow
OPINION MAR 28, 2023
3 reasons advisory firms don't grow

Some advisors are happy with the status quo, while others dislike the challenge of finding new clients.

Overcoming ‘policy differences’ takes work early in rulemaking process: SEC's Peirce
REGULATION AND LEGISLATION MAR 27, 2023
Overcoming ‘policy differences’ takes work early in rulemaking process: SEC's Peirce

The commissioner characterizes SEC Chair Gensler's agenda as seeking dramatic regulatory change over 'huge swaths of the market,' while his predecessor, Jay Clayton, was more incremental.

EBRI names former Mercer executive Barb Marder president and CEO
RETIREMENT PLANNING MAR 27, 2023
EBRI names former Mercer executive Barb Marder president and CEO

Marder succeeds Lori Lucas, who retired at the end of 2022 after joining EBRI as president and CEO.

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.