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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.

'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.