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Big firms propelled soaring profits for RIAs in 2021
RIAS OCT 24, 2022
Big firms propelled soaring profits for RIAs in 2021

The high profitability seen last year proved especially rewarding to the owners and partners of top firms.

Advisers still behind on digital account opening, industry leaders say
FINTECH OCT 24, 2022
Advisers still behind on digital account opening, industry leaders say

After years of investing in middle-office technology and client-facing portals, many firms struggle to offer digital account opening on par with fintech startups.

Cetera takes minority stake in $2.5 billion firm
BROKER DEALERS OCT 24, 2022
Cetera takes minority stake in $2.5 billion firm

The firm is investing in a Boston-area-based firm that's been affiliated with Cetera since 2000; it suggests such investments could provide a new option for broker-dealers.

BNY hires head of responsible investing from Neuberger
PRACTICE MANAGEMENT OCT 24, 2022
BNY hires head of responsible investing from Neuberger

Manisha Ali 'will help build and shape the Investors Solutions Responsible Investing franchise.'

UBS intrigue pits CEO against a rising star
FINTECH OCT 24, 2022
UBS intrigue pits CEO against a rising star

While CEO Ralph Hamers pursues his vision of harnessing automated tools and boosting the firm's standing in the US, wealth business head Iqbal Khan and his disciples are concerned about diluting UBS' private banking brand.

Finra smacks Raymond James with $1.15 million penalty over compliance shortcomings
BROKER DEALERS OCT 21, 2022
Finra smacks Raymond James with $1.15 million penalty over compliance shortcomings

Raymond James Financial Services overlooked 'multiple red flags' related to the activities of two brokers, according to Finra.

Riskalyze CEO teases new company name as fintech moves beyond risk assessment
FINTECH OCT 21, 2022
Riskalyze CEO teases new company name as fintech moves beyond risk assessment

Riskalyze has long since outgrown its roots as a digital risk questionnaire and will soon update its branding to reflect its growing role in financial adviser fintech.

R.J. Moore stepping down as CEO of Private Advisor Group
RIAS OCT 20, 2022
R.J. Moore stepping down as CEO of Private Advisor Group

Frank Smith, an LPL veteran who's the firm's current president, will succeed Moore as chief executive in mid-January.

Why advisers should go all in on niche markets
OPINION OCT 19, 2022
Why advisers should go all in on niche markets

Such a move can be the rocket fuel to grow a meaningful practice with long-term growth potential and a recession-proof business model.

eMoney provides fintech update at virtual Summit
FINTECH OCT 18, 2022
eMoney provides fintech update at virtual Summit

The financial planning software is continuing to shift toward Decision Center, its cash flow-based planning product.

Envestnet rolls out program that lets advisers see how they measure up against peers
RIAS OCT 18, 2022
Envestnet rolls out program that lets advisers see how they measure up against peers

The free, anonymous assessment takes about 20 minutes to complete, and Envestnet is building a comprehensive database from the findings.

How is a household like a hedge fund?
OPINION OCT 17, 2022
How is a household like a hedge fund?

While hedge funds are aware of how leverage and low liquidity can pull them into deep markets, advisers need to keep in mind how this risk dynamic can play out within households.

Fintech Bytes: Morgan Stanley AI, Docupace hires Lori Hardwick, and Franklin Templeton integrates LifeYield
FINTECH OCT 14, 2022
Fintech Bytes: Morgan Stanley AI, Docupace hires Lori Hardwick, and Franklin Templeton integrates LifeYield

Here are some of the other fintech headlines you may have missed this week.

Morgan Stanley CEO hints at job cuts
PRACTICE MANAGEMENT OCT 14, 2022
Morgan Stanley CEO hints at job cuts

The firm is assessing its head count, CEO James Gorman suggested on an earnings conference call.

Schwab responds to investor activism by giving fund shareholders more say in proxy voting
FINTECH OCT 13, 2022
Schwab responds to investor activism by giving fund shareholders more say in proxy voting

Pilot program marks the first time mutual fund and ETF investors have been asked their opinions on proxy matters.

Prospera Financial names Tarah Williams president
BROKER DEALERS OCT 13, 2022
Prospera Financial names Tarah Williams president

Williams, who will continue as chief operating officer, assumes the presidency from David Stringer.

SageView to acquire $415 million RIA
RIAS OCT 13, 2022
SageView to acquire $415 million RIA

The women-led Lakeview Wealth Management, which is based in Deer Park, Illinois, offers retirement and financial planning services.

Betterment's crypto portfolios include allocations to Dogecoin
ALTERNATIVES OCT 12, 2022
Betterment's crypto portfolios include allocations to Dogecoin

The robo will now offer four managed portfolios of cryptocurrencies alongside its traditional investment portfolios.

The road to loyalty is paved with exceptional customer experiences
OPINION OCT 12, 2022
The road to loyalty is paved with exceptional customer experiences

Go beyond customer satisfaction — satisfied customers don't drive ROI and profitability the way that a raving fan does.

Reimagining wealth through my mother's eyes
OPINION OCT 12, 2022
Reimagining wealth through my mother's eyes

Many Hispanics are choosing to start their own businesses, and financial advisers can help those business owners realize their goals.