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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.

Uncovering the nuances to the headline trends of our industry
FINTECH MAR 20, 2023
Uncovering the nuances to the headline trends of our industry

As InvestmentNews opens its annual benchmarking survey for this year, we will be looking to the data for clues on inflation’s impact on wages and how it has translated to advisory practices.

Advisors already know SVB’s lesson
PRACTICE MANAGEMENT MAR 20, 2023
Advisors already know SVB’s lesson

The truth — which long-time advisors know all too well — is that prudent risk management is rarely a crowd-pleaser before a crisis hits.

How advisors can achieve growth in difficult markets
OPINION MAR 17, 2023
How advisors can achieve growth in difficult markets

Some advisors experience organic growth even amid challenging markets, realizing that a downturn is a great time to sow seeds for future growth.

Digital innovation is alive and well at T3 2023
FINTECH MAR 17, 2023
Digital innovation is alive and well at T3 2023

The exposition hall was teeming with newly launched companies and fresh faces making their first appearance.

What does ChatGPT mean for the future of retirement planning?
RETIREMENT PLANNING MAR 16, 2023
What does ChatGPT mean for the future of retirement planning?

ChatGPT is in the 'experimental phase,' and it will be a while before the industry adopts the technology for retirement investing.

Finra extends work on remote supervision proposals amid investor protection concerns
PRACTICE MANAGEMENT MAR 16, 2023
Finra extends work on remote supervision proposals amid investor protection concerns

State regulators cite brokers' outside business activities and 'off-channel communications' as two areas that can't be overseen from afar.

As RIAs chase scale, smaller practices will scramble to stay relevant: Report
RIAS MAR 16, 2023
As RIAs chase scale, smaller practices will scramble to stay relevant: Report

Research from Advisor Growth Strategies sees smaller firms facing increased pressure to grow or specialize to meeting rising client expectations.

Carson Group acquires Louisiana firm managing $500 million
PRACTICE MANAGEMENT MAR 16, 2023
Carson Group acquires Louisiana firm managing $500 million

The deal for Baton Rouge-based Shobe Financial Group was driven by succession planning considerations.