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Robo-advisers struggling to retain investors in 2022, research finds
FINTECH OCT 05, 2022
Robo-advisers struggling to retain investors in 2022, research finds

The use of robo-advisers fell from 27.7% of US investors in 2021 to 20.9% this year, according to research from Parameter Insights.

Closing the gap: New network sees potential in  client care circles
PRACTICE MANAGEMENT OCT 05, 2022
Closing the gap: New network sees potential in client care circles

Collaboration between complementary professionals is a missing link for many clients, who are expected to patch advice from various professionals into a comprehensive plan.

5 client personas advisers need to know to build wallet share
OPINION OCT 05, 2022
5 client personas advisers need to know to build wallet share

It's important for advisers to understand how the emotions of clients can dictate whether and when they'll give you more assets to manage.

Finra slaps UBS with $2.5 million fine over short-selling violations
PRACTICE MANAGEMENT OCT 04, 2022
Finra slaps UBS with $2.5 million fine over short-selling violations

It's the second time in as many weeks that Finra has penalized a firm for such trading problems.

Savant Wealth Management acquires two Iowa-based financial firms
RIAS OCT 04, 2022
Savant Wealth Management acquires two Iowa-based financial firms

The deals push Savant's assets to $12.4 billion while moving it forward on its five-year growth plan.

Concourse Financial names David Perry CEO
LIFE INSURANCE AND ANNUITIES OCT 04, 2022
Concourse Financial names David Perry CEO

Perry, who most recently served as the firm's chief operating officer, succeeds Doyle Williams, who is returning to parent company Protective Life.

Merit Financial Group acquires Triad Financial Strategies
RIAS OCT 04, 2022
Merit Financial Group acquires Triad Financial Strategies

The purchase marks Merit's 11th deal since it partnered with private equity investors in December 2020.

Mercer Global Advisors adds $1 billion with deal for Goldstein Munger
RIAS OCT 04, 2022
Mercer Global Advisors adds $1 billion with deal for Goldstein Munger

The San Ramon, California-based family office has a history dating back to 1979.

Merrill launches matchmaking service to connect investors and advisers
FINTECH OCT 04, 2022
Merrill launches matchmaking service to connect investors and advisers

The firm is positioning Merrill Advisor Match as a modern solution for investors who are looking for financial advice.

Morgan Stanley brings robo-adviser under the ETrade brand name
FINTECH OCT 03, 2022
Morgan Stanley brings robo-adviser under the ETrade brand name

Morgan Stanley will stop making the robo, Access Investing, available to new clients in December.

FPA offers course on planning psychology
PRACTICE MANAGEMENT OCT 03, 2022
FPA offers course on planning psychology

The nine-credit on-demand program includes seven hours of video instruction and focuses on how financial planners can build deeper relationships with clients.

SEC fines Kim Kardashian $1.26 million for endorsing crypto token on Instagram
ALTERNATIVES OCT 03, 2022
SEC fines Kim Kardashian $1.26 million for endorsing crypto token on Instagram

The securities watchdog said she broke US rules by not disclosing she was paid for the promotion.

Fintech app Yotta rolls out feature that helps investors buy Treasury I bonds 
FINTECH SEP 29, 2022
Fintech app Yotta rolls out feature that helps investors buy Treasury I bonds 

I-Bonds Bucket allows users to invest in the securities while bypassing the glitchy TreasuryDirect.gov website.

Advisers and clients slammed by Hurricane Ian
PRACTICE MANAGEMENT SEP 29, 2022
Advisers and clients slammed by Hurricane Ian

Florida, full of retirees looking for sunshine and low state taxes, is also densely populated with financial advisers.

People of color getting less financial advice than a year ago
PRACTICE MANAGEMENT SEP 29, 2022
People of color getting less financial advice than a year ago

An Allianz survey finds that African Americans, Hispanics, Asians and Asian Americans all saw a decline in the portion consulting with a financial professional in 2022.

LPL offers advisers access to broker-savvy bookkeepers
BROKER DEALERS SEP 29, 2022
LPL offers advisers access to broker-savvy bookkeepers

The bookkeeping service, which aims to boost advisers' efficiency and productivity, follows LPL's offering earlier this year of a paraplanner service.

The opportunity presented by middle-class millionaires
OPINION SEP 28, 2022
The opportunity presented by middle-class millionaires

Instead of pursuing ultra-high-net-worth clients, more advisers should target the largest group in need of wealth management advice in America.

Retail investors grow weary of cryptocurrency as institutional interest grows
ALTERNATIVES SEP 28, 2022
Retail investors grow weary of cryptocurrency as institutional interest grows

Only 21% of Americans feel comfortable investing in cryptocurrencies, down from 35% in 2021.

Wedbush Securities hit with $900,000 fine for trading problems
PRACTICE MANAGEMENT SEP 28, 2022
Wedbush Securities hit with $900,000 fine for trading problems

The Los Angeles-based firm has had a history of failing to supervise certain trades that resulted in scrutiny from regulators and penalties.

Recharging your brain with a sabbatical
OPINION SEP 28, 2022
Recharging your brain with a sabbatical

Sometimes employees need an exodus from the professional grind that will give them some rest and time for fresh thinking, and even allow them to fulfill pursuits that have nothing to do with work.