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Kane voted FPA 2023 president-elect
PRACTICE MANAGEMENT SEP 28, 2022
Kane voted FPA 2023 president-elect

George Fernández was elected to replace Kane as the Financial Planning Association's treasurer.

GeoWealth expands cast of available managers
FINTECH SEP 28, 2022
GeoWealth expands cast of available managers

Chicago-based TAMP also launches investment consulting service for advisers who want to completely outsource portfolio and UMA construction while retaining their brand.

Wall Street banks hire WhatsApp cops after being hit with big fines
FINTECH SEP 28, 2022
Wall Street banks hire WhatsApp cops after being hit with big fines

In court documents, the SEC described at least a few senior managers at each firm who engaged in rampant texting with colleagues and clients.

Former Northern Trust exec Shundrawn Thomas launches private equity firm
ALTERNATIVES SEP 28, 2022
Former Northern Trust exec Shundrawn Thomas launches private equity firm

Thomas is partnering with former Bank of America credit specialist Anthony Hoye to provide financing to minority and women-led businesses.

Wall Street firms hit with $2 billion in fines in WhatsApp probe
FINTECH SEP 27, 2022
Wall Street firms hit with $2 billion in fines in WhatsApp probe

The penalties levied against firms including Citigroup, Bank of America and Goldman Sachs constitute the largest-ever penalties against US banks for record-keeping lapses.

$13 billion branch office to leave Raymond James
PRACTICE MANAGEMENT SEP 27, 2022
$13 billion branch office to leave Raymond James

Large branch offices of independent broker-dealers like Concurrent Advisors increasingly are flexing their muscles and either adding on new custodians or spinning off on their own.

Cathie Wood launches new venture fund on robo-adviser Titan Invest
ALTERNATIVES SEP 27, 2022
Cathie Wood launches new venture fund on robo-adviser Titan Invest

The fund requires a $500 minimum investment and charges a management fee of 2.75%, with a total expense ratio estimated at 4.22%.

Wall Street firms seen paying historic fine to settle WhatsApp probe
FINTECH SEP 27, 2022
Wall Street firms seen paying historic fine to settle WhatsApp probe

The results of the investigation could be released as soon as Wednesday and could see regulators extracting total fines of around $2 billion.

How digital platforms can be more accessible to minority investors
FINTECH SEP 26, 2022
How digital platforms can be more accessible to minority investors

Research uncovered three ways that investing platforms can foster a more inclusive and accessible environment for those living on a low to moderate income.

A time for difficult conversations
RETIREMENT PLANNING SEP 26, 2022
A time for difficult conversations

It may be time for advisers to talk to clients about reducing spending and either continuing or returning to work.

TAMPs race to build comprehensive wealth management platforms
FINTECH SEP 26, 2022
TAMPs race to build comprehensive wealth management platforms

After years of consolidation, the platforms that solve the puzzle could win future advisers and their assets. The ones that don’t may find themselves acquired.

New thinking on neurodiversity opens doors for advisers
PRACTICE MANAGEMENT SEP 26, 2022
New thinking on neurodiversity opens doors for advisers

Autism, Asperger's, dyslexia and other neurological differences open surprising opportunities for talent and employers.

Fintech Bytes: Fidelity integrates with Salesforce; RightCapital launched new tool
FINTECH SEP 23, 2022
Fintech Bytes: Fidelity integrates with Salesforce; RightCapital launched new tool

Here's a roundup of some of the adviser fintech news you may have missed this week.

Market pullback, recession threat send more financial advisers to alternatives
RIAS SEP 23, 2022
Market pullback, recession threat send more financial advisers to alternatives

In an RIA Lab discussion of what investors should expect from alternative investments, panelists note that fees are high and liquidity is limited.

How to help small-business-owner clients get started with their exit plan
OPINION SEP 22, 2022
How to help small-business-owner clients get started with their exit plan

Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.

After Wealthfront, UBS dusts off plan to stress banking, tech and productivity
FINTECH SEP 22, 2022
After Wealthfront, UBS dusts off plan to stress banking, tech and productivity

It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.

Raymond James rolls out private wealth designation
PRACTICE MANAGEMENT SEP 22, 2022
Raymond James rolls out private wealth designation

The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.

Lerner Group promotes three to partner
PRACTICE MANAGEMENT SEP 22, 2022
Lerner Group promotes three to partner

Michael Schneider, Megan Kowalski and David Sokolovsky will lead initiatives in the family office space.

Morgan Stanley study shows employees seeking beefed-up benefits
RETIREMENT PLANNING SEP 22, 2022
Morgan Stanley study shows employees seeking beefed-up benefits

Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.

Women take the lead at Advisor Group
PRACTICE MANAGEMENT SEP 21, 2022
Women take the lead at Advisor Group

The imperative for having more women in charge of brokerage and advisory firms is pretty clear — in the future women will control more of the nation's wealth.