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'Central Park Karen' lawsuit over firing thrown out
PRACTICE MANAGEMENT SEP 21, 2022
'Central Park Karen' lawsuit over firing thrown out

Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.

Financial advisers debate the best way to charge clients
PRACTICE MANAGEMENT SEP 21, 2022
Financial advisers debate the best way to charge clients

A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.

NAPA unveils new adviser designation for nonqualified plans
RETIREMENT PLANNING SEP 21, 2022
NAPA unveils new adviser designation for nonqualified plans

The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.

3 reasons advisers should take millennials more seriously
OPINION SEP 21, 2022
3 reasons advisers should take millennials more seriously

Millennials — those born between 1981 and 1997 — trail far behind older generations, with only 5% of the country's wealth. But they're starting to come into their own.

Enhancing tax alpha on a multi-account UMA platform
OPINION SEP 21, 2022
Enhancing tax alpha on a multi-account UMA platform

Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.

Insurers talk big, spend small with diverse asset management firms
LIFE INSURANCE AND ANNUITIES SEP 20, 2022
Insurers talk big, spend small with diverse asset management firms

The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.

NASAA model rules let advisers maintain licenses while out of industry
PRACTICE MANAGEMENT SEP 20, 2022
NASAA model rules let advisers maintain licenses while out of industry

The move aligns state policy with a Finra initiative that extended the grace from two to five years as long as brokers stay current on continuing education.

Women-led $340 million team pivots to LPL from Ameriprise
RIAS SEP 20, 2022
Women-led $340 million team pivots to LPL from Ameriprise

Rubino Skedsvold Moran & Associates, which is based in Portland, Oregon, will use the firm’s RIA and custodial platforms.

Morgan Stanley hit with $35 million SEC fine over data security
FINTECH SEP 20, 2022
Morgan Stanley hit with $35 million SEC fine over data security

When the bank replaced hard drives and servers, it improperly disposed of thousands of devices, compromising the personal data of about 15 million clients.

Institute for Portfolio Alternatives promotes Anya Coverman to top job
PRACTICE MANAGEMENT SEP 19, 2022
Institute for Portfolio Alternatives promotes Anya Coverman to top job

The trade group's new president and CEO previously served as its general counsel.

SEC to probe whether advisers can back up ads in marketing-rule reviews
PRACTICE MANAGEMENT SEP 19, 2022
SEC to probe whether advisers can back up ads in marketing-rule reviews

A risk alert released Monday gives advisers a preview of how the agency will assess compliance with the regulation, which overhauls advertising restrictions for the first time in 60 years.

The latest in financial #AdviserTech — September 2022
FINTECH SEP 19, 2022
The latest in financial #AdviserTech — September 2022

VRGL's $15 million Series A round, FMG's acquisition of Vestorly, Farther's funding round and Orion's partnership with Apex Clearing are among the highlights of this month's roundup.

Ethic raises $50 million in Series C round
FINTECH SEP 19, 2022
Ethic raises $50 million in Series C round

UBS participated in the funding round for the provider of direct indexing, which oversees more than $2 billion in assets.

Marstone is offering its TAMP to community banks
FINTECH SEP 18, 2022
Marstone is offering its TAMP to community banks

North Carolina’s Bank of Oak Ridge will use Marstone’s platform combined with advice from Detalus Advisors.

Voya launches holistic platform for plan participants
RETIREMENT PLANNING SEP 16, 2022
Voya launches holistic platform for plan participants

The digital platform, myVoyage, integrates account balances in defined-contribution retirement plans with guidance and information about external accounts.

US SIF CEO Lisa Woll to step down
PRACTICE MANAGEMENT SEP 16, 2022
US SIF CEO Lisa Woll to step down

Woll has been the face of one of the most prominent organizations supporting sustainable investing for 16 years.

Ritholtz's Future Proof festival isn't just a day at the beach for wealth management
FINTECH SEP 15, 2022
Ritholtz's Future Proof festival isn't just a day at the beach for wealth management

While many were skeptical about Advisor Circle and Ritholtz Wealth's idea for a 'wealth festival,' Future Proof could become the industry's next big event.

Anxious retirement savers turn digital experience into new battleground: J.D. Power
RETIREMENT PLANNING SEP 15, 2022
Anxious retirement savers turn digital experience into new battleground: J.D. Power

63% of retirement plan participants say they have challenges managing their accounts digitally.

Advice-only planning exposes what's wrong with asset-based fee models
RIAS SEP 15, 2022
Advice-only planning exposes what's wrong with asset-based fee models

The planning industry won't truly distinguish itself from the old-fashioned brokerage industry until it stops linking fees to investment portfolios.

Clients want advice about their Medicare options
RETIREMENT PLANNING SEP 14, 2022
Clients want advice about their Medicare options

Most advisers agree they should be providing health care advice, but they say they need better tools.