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Advice industry tilts toward model portfolios as surest path to building scale
RIAS OCT 12, 2022
Advice industry tilts toward model portfolios as surest path to building scale

Client-level investment management is gradually going the way of white tennis balls as asset management becomes increasingly commoditized.

Diverse voices drive employees' engagement with financial benefits – and beyond
PRACTICE MANAGEMENT OCT 11, 2022
Diverse voices drive employees' engagement with financial benefits – and beyond

People are more likely to listen to messages delivered by those who appear to share their identities

Here’s why organic growth still drives the advice industry
RIAS OCT 11, 2022
Here’s why organic growth still drives the advice industry

While there are techniques galore for recruiting new clients, it all comes down to hustle and hard work.

Edward Jones adviser managing $331 million opts for Ameriprise
RIAS OCT 11, 2022
Edward Jones adviser managing $331 million opts for Ameriprise

Cate Grinney forms all-female indie firm in Fairbault, Minnesota, and affiliates with the independent channel of Ameriprise.

Rising interest rates make cash management fun again
EQUITIES OCT 10, 2022
Rising interest rates make cash management fun again

Financial advisers are adding value by finding higher yields for clients' cash balances.

Schwab loses adviser fintech leader Jon Patullo to Apex
FINTECH OCT 10, 2022
Schwab loses adviser fintech leader Jon Patullo to Apex

At TD Ameritrade, Patullo oversaw the strategic direction of adviser-facing technology and spearheaded the open-architecture approach to third-party integrations.

A marketing conundrum
RIAS OCT 10, 2022
A marketing conundrum

Hitting the sweet spot between taking advantage of new marketing opportunities and staying in compliance with the SEC marketing rule will be a big challenge for advisers.

The ‘best’ way to pay for advice
PRACTICE MANAGEMENT OCT 10, 2022
The ‘best’ way to pay for advice

An adviser who’s honest and transparent about compensation, regardless of the model, is bound to engender the trust that advice seekers want most of all.

State regulators look to keep pace with SEC marketing rule
PRACTICE MANAGEMENT OCT 10, 2022
State regulators look to keep pace with SEC marketing rule

The North American Securities Administrators Association is working on a model rule that 'mirrors' the SEC regulation.

Turning an ESG Conversation into E, S & G Conversations
PRACTICE MANAGEMENT OCT 10, 2022
Turning an ESG Conversation into E, S & G Conversations

As responsible investing continues to increase in popularity, focusing on specific E, S and G elements rather than ESG as a category may allow advisors to better serve clients.

Fintech Bytes: FMG launches marketing tool, Riskalyze integrates with financial planning startup
FINTECH OCT 07, 2022
Fintech Bytes: FMG launches marketing tool, Riskalyze integrates with financial planning startup

A roundup of the rest of the week's fintech headlines, including news from Tidal Financial, FA Match and Aspida.

Envestnet adds crypto to Tamarac with two fintech integrations
FINTECH OCT 06, 2022
Envestnet adds crypto to Tamarac with two fintech integrations

The integrations with Flourish Crypto and Gemini Bitria pull custodial data on cryptocurrencies into the RIA technology platform.

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.