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NewEdge Advisors rolls out employee affiliation model
RIAS FEB 17, 2023
NewEdge Advisors rolls out employee affiliation model

South Dakota-based Reinke Gray Wealth Management is the first to join NewEdge using the new model.

Vestwell selected to administer California ABLE program
FINTECH FEB 17, 2023
Vestwell selected to administer California ABLE program

The digital record keeper is now administering ABLE programs for 20 states.

The latest in financial #AdvisorTech — February 2023
FINTECH FEB 16, 2023
The latest in financial #AdvisorTech — February 2023

The month's highlights include Elements adding $5 million more in funding, TradingFront shutting down and Zoe Financial launching a TAMP for advisers in its lead generation network.

Ignoring this source of retirement income underestimates Black Americans’ resources
PRACTICE MANAGEMENT FEB 16, 2023
Ignoring this source of retirement income underestimates Black Americans’ resources

Many Black Americans have been smarter about planning for retirement than most studies indicate.

Betterment lays off 28 as fintechs continue to feel the pinch
FINTECH FEB 16, 2023
Betterment lays off 28 as fintechs continue to feel the pinch

The robo-advisor is also reportedly closing its Philadelphia office and subleasing a floor of its New York City office.

Fidelity to hire 4,000 positions by midyear
PRACTICE MANAGEMENT FEB 16, 2023
Fidelity to hire 4,000 positions by midyear

The firm goes on a hiring binge as rival asset managers trim headcount amid economic uncertainty and softening financial markets.

Waiting too long can make your worst fears a reality
OPINION FEB 15, 2023
Waiting too long can make your worst fears a reality

The primary reason RIA principals continue to run their own shops, rather than cashing out or offloading day-to-day responsibilities, has to do with fear.

Examining gamification's power and influence in the markets
OPINION FEB 15, 2023
Examining gamification's power and influence in the markets

A recent survey by CFA Institute found 20% of retail investors say their primary reason for using trading accounts is entertainment or speculation.

Goldman CEO cites 'tighter hiring plan' for 2023
PRACTICE MANAGEMENT FEB 15, 2023
Goldman CEO cites 'tighter hiring plan' for 2023

But Solomon cited improved sentiment among CEOs about the possibility of a 'softer economic landing.'

Merrill launches new tool allowing advisors to record, share custom videos
FINTECH FEB 14, 2023
Merrill launches new tool allowing advisors to record, share custom videos

The wirehouse's Video Pro guides advisors through creating compliance-approved content for clients and prospects.

State Street using AI as a ‘forward-looking approach' to portfolio construction
FINTECH FEB 13, 2023
State Street using AI as a ‘forward-looking approach' to portfolio construction

AI can give you a deeper breadth of opportunities and broaden your scope of companies that may be considered innovative, according to State Street’s Matt Bartolini.

NAPFA names Kathryn Dattomo new CEO
PRACTICE MANAGEMENT FEB 13, 2023
NAPFA names Kathryn Dattomo new CEO

Dattomo, a longtime executive for medical associations, takes over from Geoffrey Brown, who departed NAPFA in November to become CEO of the Illinois CPA Society.

Finra fines small New York broker-dealer for Reg BI failures
PRACTICE MANAGEMENT FEB 13, 2023
Finra fines small New York broker-dealer for Reg BI failures

Finra's action against Long Island Financial Group is yet another indication of its dissatisfaction with the industry's implementation of Reg BI.

Programs to draw underrepresented groups into investing gain traction
PRACTICE MANAGEMENT FEB 13, 2023
Programs to draw underrepresented groups into investing gain traction

New and expanding programs are crafting on-ramps for traditionally underrepresented investors to the world of private equity and venture capital.

Financial heartbreak: Lying about money can cost you your relationship
PRACTICE MANAGEMENT FEB 13, 2023
Financial heartbreak: Lying about money can cost you your relationship

A survey by Bankrate.com found that more than half of those polled viewed financial infidelity as worse than physical infidelity.

Fintech Bytes: InvestCloud, 55ip and Broadridge
FINTECH FEB 10, 2023
Fintech Bytes: InvestCloud, 55ip and Broadridge

Plus a couple of fintech fundraising announcements and another alternatives platform hits the market.

Finra can start indicating on BrokerCheck whether firm is ‘restricted’
PRACTICE MANAGEMENT FEB 10, 2023
Finra can start indicating on BrokerCheck whether firm is ‘restricted’

Investors will be able to see whether a brokerage has been flagged for having a history of misconduct or employing a number of reps with disciplinary violations.

Cetera CEO Antoniades enthusiastic about Securian pickup
BROKER DEALERS FEB 10, 2023
Cetera CEO Antoniades enthusiastic about Securian pickup

But the deal raises the possibility other firms may go after the Securian advisors; Cetera and LPL have faced off in the past over recruiting advisors amid an acquisition.

Alan Moore stepping down as CEO of AdvicePay to become full-time CEO of XY Planning
RIAS FEB 10, 2023
Alan Moore stepping down as CEO of AdvicePay to become full-time CEO of XY Planning

The 35-year-old co-founder of AdvicePay and XY Planning said he got the AdvicePay board's blessing late last year to make the transition.

What do advisory firms need to keep growing? A move beyond client referrals
OPINION FEB 09, 2023
What do advisory firms need to keep growing? A move beyond client referrals

As firms increase in size, client referrals represent a declining percentage of new assets, while marketing accounts for a greater percentage.