Riskalyze's Aaron Klein embraces the Luddite position of not expecting technology to ever replace the human adviser.
The SEC finds that some firms use generic compliance programs that aren't tailored to the particular hacking dangers their accounts face.
Seeds Investor, a software offering digital client assessment, automated portfolio construction and ongoing client engagement tools, has backing from funds linked to Stocktwits founder Howard Lindzon and Ritholtz Wealth Management.
Bradley Goodbred now faces criminal charges of stealing money from an elderly client, in addition to civil charges from the SEC.
The application, called ‘Opportunities,’ is intended to prompt adviser-client communication.
Nearly eight out of 10 millennials and Gen Xers whose parents or grandparents work with a financial adviser and who expect to receive an inheritance are likely to seek professional help managing their money once they have more of it.
ARC, based in Beverly Hills, California, provides compliance solutions for registered investment advisory firms.
Eight in 10 RIAs planned to hire in 2022, with firms looking to fill an average of six new roles over the next five years.
The board urges advisers to approach the asset class, which has struggled in 2022, with caution.
Durbin is going from president of Fidelity Institutional to a senior adviser role; he'll be succeeded as president by Vadim Zlotnikov.
Our 2022 Best Practices consist of 11 firms — two solo practices and three firms in each ensemble category — that were the highest achievers in these metrics.
The bank appointed David Sabow to succeed Platts as CEO of Silicon Valley Bank UK and head of EMEA.
The Association of African American Financial Advisors, the largest advocacy group for Blacks in the industry, intends to step up business-to-business alliances.
Given advisers' questioning of the practical merits of cryptocurrency, it's no wonder so many encouraged their clients to steer clear of crypto as an investment.
A roundup of the week's top tech news, including MaxMyInterest integrating with Wealthbox, CapIntel's growth and Smarsh hiring new executives.
Despite lukewarm adoption by financial advisers, the financial services industry is committed to leveraging this crucial channel to get direct indexing in front of more investors.
Its acquisition of Waltham-based Northface Capital Holdings is part of the firm's succession plan.
The groups that Hassan will take responsibility for were previously part of the global wealth-management operation.
Experts say advisers who are introducing clients to ESG investing must start with flexibility and an open mind.
It can be hard to keep direct-index portfolios from 'drifting' from their benchmark index as stocks are swapped in and out.
