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Goldman weighs cutting up to 4,000 jobs
PRACTICE MANAGEMENT DEC 16, 2022
Goldman weighs cutting up to 4,000 jobs

CEO David Solomon is battling to contain a slump in profit and revenue after a costly expansion into consumer bank resulted in deep losses.

Fintech Bytes: STP acquires WealthSite, Docupace launches productivity tool kit
FINTECH DEC 16, 2022
Fintech Bytes: STP acquires WealthSite, Docupace launches productivity tool kit

Plus Stifel turns to KX to enhance analytics and decision making, and digital insurance brokerage Modern Life unveils a new platform for advisers.

Adviser coach awards $50,000 in scholarships
PRACTICE MANAGEMENT DEC 15, 2022
Adviser coach awards $50,000 in scholarships

The grants from Stephanie Bogan will support training for diverse advisers.

At LPL Financial, advisory assets are far sweeter than brokerage
BROKER DEALERS DEC 15, 2022
At LPL Financial, advisory assets are far sweeter than brokerage

An LPL presentation on the return on various types of assets shows the age of advisory assets and fees has arrived in the broad financial advice industry.

CFP Board opposes FPA on title protection effort
PRACTICE MANAGEMENT DEC 14, 2022
CFP Board opposes FPA on title protection effort

CFP Chair Kamila Elliott said the current political environment would make it too difficult to obtain legal recognition of financial planning.

Social media finfluencers face charges in $114 million pump-and-dump scheme
FINTECH DEC 14, 2022
Social media finfluencers face charges in $114 million pump-and-dump scheme

The defendants allegedly disseminated false and misleading information to their collective 1.5 million Twitter followers to hype interest in certain securities while secretly planning to sell shares at artificially elevated prices, the DOJ charged.

Finra fines Edward Jones $1.1 million over bungled phone records
FINTECH DEC 14, 2022
Finra fines Edward Jones $1.1 million over bungled phone records

The firm used two locations to store phone records, which caused a confused response to Finra document requests in investigations, according to the regulator.

Alexandra Lebenthal, third-generation Wall Streeter, invests in first-generation women business owners
PRACTICE MANAGEMENT DEC 14, 2022
Alexandra Lebenthal, third-generation Wall Streeter, invests in first-generation women business owners

Steeped in finance, Lebenthal turns her considerable influence to accelerate growth for women-led businesses.

Advisory firm valuations are dropping
OPINION DEC 14, 2022
Advisory firm valuations are dropping

Falling markets are cutting firms' revenue tied to AUM at the same time rising interest rates are making it more expensive for buyers to finance deals.

The latest in financial #AdviserTech — December 2022
FINTECH DEC 13, 2022
The latest in financial #AdviserTech — December 2022

This month’s highlights include Savvy Wealth’s $11 million funding round to enter the realm of tech-enabled RIAs, along with DPL Partners’ new adviser-matching solution and InvestCloud’s Advisor Connect solution.

5 biggest crypto hacks of 2022
ALTERNATIVES DEC 13, 2022
5 biggest crypto hacks of 2022

The money pouring into digital assets has attracted the attention of criminals.

Apex partners with fintech to bring robo-advice to community banks, credit unions
FINTECH DEC 13, 2022
Apex partners with fintech to bring robo-advice to community banks, credit unions

Using Unifimoney's tech and Apex's custodial platform, community financial institutions can add digital wealth management to existing online banking services.

Build capacity by pruning clients
OPINION DEC 13, 2022
Build capacity by pruning clients

Advisers need to create an ‘ideal client’ description, grade their clients and eliminate those who aren't the right fit.

Former broker, insurance agent arrested in California on fraud charges
LIFE INSURANCE AND ANNUITIES DEC 13, 2022
Former broker, insurance agent arrested in California on fraud charges

Gautam Arora allegedly defrauded four victims out of $100,000 to secure investments that didn't exist.

Morningstar adds Luma annuity technology to Advisor Workstation
RETIREMENT PLANNING DEC 13, 2022
Morningstar adds Luma annuity technology to Advisor Workstation

The new annuity functionality will help advisers using Morningstar's workstations manage annuity transactions for their clients.

Goldman plans to slash hundreds of more jobs
PRACTICE MANAGEMENT DEC 13, 2022
Goldman plans to slash hundreds of more jobs

Chief Executive Officer David Solomon has said he’s dialing back the firm’s ambitions for consumer banking.

An adviser who zooms in on OnlyFans stars
RIAS DEC 12, 2022
An adviser who zooms in on OnlyFans stars

Jessica Goedtel is building an advisory practice where people who earn a living via online platforms like OnlyFans feel welcome.

FPA leader calls title protection top advocacy priority for years to come
PRACTICE MANAGEMENT DEC 12, 2022
FPA leader calls title protection top advocacy priority for years to come

The organization representing financial planners wants to obtain legal recognition of the profession, a process that could involve a long, winding road through state and federal legislatures.

AdvisorFinder platform aims to put prospective clients in the driver's seat
FINTECH DEC 12, 2022
AdvisorFinder platform aims to put prospective clients in the driver's seat

Entering the competitive space of client referral programs, AdvisorFinder faces the challenge of getting consumers to the site.

Best gifts for star performers on your staff this holiday season
PRACTICE MANAGEMENT DEC 12, 2022
Best gifts for star performers on your staff this holiday season

Ways that firms can demonstrate their appreciation of their staff members amid the year-end festivities.