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Retirement plan providers' investments in technology are paying off
RETIREMENT PLANNING AUG 29, 2022
Retirement plan providers' investments in technology are paying off

A quarter of plan participants now prefer to receive 401(k) account information via email, up from 9% in 2020, according to Cerulli Associates.

NAPFA teams with FP Transitions to offer succession planning help
PRACTICE MANAGEMENT AUG 29, 2022
NAPFA teams with FP Transitions to offer succession planning help

The custom program will provide the group's fee-only planners with counseling and matching, including an annual valuation and an annual continuity plan.

Commonwealth taps ex-LPL attorney for cybersecurity oversight
FINTECH AUG 29, 2022
Commonwealth taps ex-LPL attorney for cybersecurity oversight

In the newly created position, Michelle Kelley will lead the firm’s legal department and provide counsel on cybersecurity and privacy laws.

Top retirement providers ranked on digital experience
RETIREMENT PLANNING AUG 27, 2022
Top retirement providers ranked on digital experience

As the market sell-off erodes investors’ savings, they’re becoming more critical of the platforms provided by their retirement plans.

SoFi has built a fintech juggernaut, and it's time advisers started paying attention
FINTECH AUG 26, 2022
SoFi has built a fintech juggernaut, and it's time advisers started paying attention

The firm was founded in 2011 to help refinance student loan debt but now offers an array of products, including mortgages, personal loans, insurance and a robo-adviser.

Fintech Bytes: SEI, SMArtX and Vise
FINTECH AUG 26, 2022
Fintech Bytes: SEI, SMArtX and Vise

A roundup of this week's adviser fintech news, including SEI's introduction of a cloud-based database and SMArtX's partnership with Flyer.

Kovack Securities dinged by Finra for A-share trades
PRACTICE MANAGEMENT AUG 26, 2022
Kovack Securities dinged by Finra for A-share trades

The firm was fined $210,000 for falling short on its supervision of short-term mutual fund trades, the regulator said.

Women now integrate inflation into intuitive risk assessments
PRACTICE MANAGEMENT AUG 25, 2022
Women now integrate inflation into intuitive risk assessments

In the wake of the economic and social upheaval of the past two years, more factors play into women's assessments of risk

Goldman rethinking consumer unit's online checking feature
FINTECH AUG 24, 2022
Goldman rethinking consumer unit's online checking feature

Goldman has been straining to prepare a feature that would let users set up direct deposits and pay their bills online, but it's constrained by the accelerating losses on its online platform, Marcus.

Mastering the use of social media for client prospecting
OPINION AUG 24, 2022
Mastering the use of social media for client prospecting

Financial professionals can reach a broader group of prospects — of all ages and in all locations — on their social media channels with fewer mechanics involved than planning an in-person event.

The Case for Mentorship in Financial Services
WOMEN ADVISOR COMMUNITY AUG 24, 2022
The Case for Mentorship in Financial Services

Companies with mentor programs outperform those without. Three benefits show why, and justify investing in such a program.

Scholarship targets people underrepresented in financial planning
PRACTICE MANAGEMENT AUG 23, 2022
Scholarship targets people underrepresented in financial planning

The CFP Board Center for Financial Planning and Mission Wealth Management launched a program that will award $5,000 scholarships to students seeking the credential.

iCapital acquires UBS legacy alternative investment feeder fund platform
ALTERNATIVES AUG 23, 2022
iCapital acquires UBS legacy alternative investment feeder fund platform

The fintech has purchased UBS Fund Advisor, the wirehouse’s legacy proprietary U.S. alternative investment manager and feeder fund platform that represents $7 billion in client assets.

'Wait, you can do that?' 3 of the biggest eye-openers for breakaways
OPINION AUG 22, 2022
'Wait, you can do that?' 3 of the biggest eye-openers for breakaways

Here are some of the things about working as an independent adviser that may surprise those who've made the jump from a wirehouse.

Hightower leverages life of obscure artist to deliver message for women
RIAS AUG 22, 2022
Hightower leverages life of obscure artist to deliver message for women

A client event features the life and art of Suzie Zuzek, the woman who designed the fabrics used in Lilly Pulitzer's clothing line.

David Lerner's latest proprietary fund snag
ALTERNATIVES AUG 22, 2022
David Lerner's latest proprietary fund snag

The brokerage firm's in-house energy fund, Energy 11 L.P., reports $45 million in 'unpaid distributions' to investors.

New regulations for the new reality
FINTECH AUG 22, 2022
New regulations for the new reality

Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.

Finra taps executive for board chair
PRACTICE MANAGEMENT AUG 19, 2022
Finra taps executive for board chair

Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.

Fintech Bytes: Dynasty partners with Pontera, Orion joins up with Apex
FINTECH AUG 19, 2022
Fintech Bytes: Dynasty partners with Pontera, Orion joins up with Apex

A roundup of the week's fintech news for financial advisers.

Lincoln Financial launches QDIA with Stadion
RETIREMENT PLANNING AUG 19, 2022
Lincoln Financial launches QDIA with Stadion

The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.