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BlackRock offers portfolios tailored specifically for women
WOMEN ADVISOR COMMUNITY JUL 22, 2022
BlackRock offers portfolios tailored specifically for women

The portfolios take into account gender discrepancies around life expectancy, time in the workforce and income.

SEC fines Private Advisor Group $5.8 million for using high-fee mutual funds
BROKER DEALERS JUL 22, 2022
SEC fines Private Advisor Group $5.8 million for using high-fee mutual funds

It's the latest action in the SEC's long-running campaign to crack down on disclosure and best-execution failures involving 12b-1 fees.

Soothing client concerns about their investments during mergers
OPINION JUL 22, 2022
Soothing client concerns about their investments during mergers

Let's face it, virtually no two firms have the precise same offerings. However, the partnership can work if the firms have complementary investment philosophies.

Latest strategies for attracting Black college students to advisory careers take long view
PRACTICE MANAGEMENT JUL 21, 2022
Latest strategies for attracting Black college students to advisory careers take long view

Firms are investing in HBCUs and beyond, then creating a spectrum of entry points to financial industry careers.

FPA to push for 'financial planner' title protection
PRACTICE MANAGEMENT JUL 21, 2022
FPA to push for 'financial planner' title protection

Legal recognition of the title is 'a critical step in recognizing financial planning as a distinct, essential profession,' the organization said.

Schwab benchmarking report shows strong RIA growth, hiring challenges ahead
RIAS JUL 21, 2022
Schwab benchmarking report shows strong RIA growth, hiring challenges ahead

The 16th annual study, which compiles data from more than 1,200 firms managing a combined $1.8 trillion, shows top-tier firms succeed through efficiencies.

Envestnet's Ron Ransom on the biggest challenges facing ESG
FINTECH JUL 20, 2022
Envestnet's Ron Ransom on the biggest challenges facing ESG

The provider of outsourced investment management and financial technology appointed Ransom as group head of ESG, a new role at Envestnet.

Two essential retirement guides for women
RETIREMENT PLANNING JUL 19, 2022
Two essential retirement guides for women

Financial planning pioneers share their experiences and wisdom on the challenges of retirement.

SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal
PRACTICE MANAGEMENT JUL 19, 2022
SEC enforcement will help ensure Reg BI delivers on investor protection: Grewal

The first Reg BI enforcement action, filed last month, won't be the last, division director Gurbir Grewal told lawmakers.

Schwab turns page, changes decades-old name of RIA
RIAS JUL 19, 2022
Schwab turns page, changes decades-old name of RIA

The firm rebranded its registered investment adviser, formerly known as Schwab Private Client Investment Advisory Inc., as Schwab Wealth Advisory Inc.

LPL hires former BNY Mellon exec to head banking
BROKER DEALERS JUL 19, 2022
LPL hires former BNY Mellon exec to head banking

Bill Sappington will lead efforts to build the IBD’s banking and lending platform.

Help business owner clients protect their greatest asset: Their people
OPINION JUL 19, 2022
Help business owner clients protect their greatest asset: Their people

As more and more workers quit their jobs, advisers can help business clients understand the risks associated with losing talent.

Mariner boosts focus on breakaways by acquiring Financial Services Network
RIAS JUL 19, 2022
Mariner boosts focus on breakaways by acquiring Financial Services Network

The deal adds $26 billion under advisement and more than 400 advisers to Mariner's existing back-office platform.

True North and RightSize merge into Visory
FINTECH JUL 18, 2022
True North and RightSize merge into Visory

The two companies had competed on providing cybersecurity and technology management for independent registered investment advisers.

Merrill Lynch follows through on hiring financial advisers despite tough market
PRACTICE MANAGEMENT JUL 18, 2022
Merrill Lynch follows through on hiring financial advisers despite tough market

Meanwhile, Bank of America, like other large financial institutions that employ advisers, is facing regulatory scrutiny over employees' communications.

The latest in financial #AdviserTech — July 2022
FINTECH JUL 18, 2022
The latest in financial #AdviserTech — July 2022

This month's roundup looks at Schwab's $187 million settlement with the SEC, Bento Engine's funding round, and RIA In A Box's launch of a RolloverAnalyzer solution.

Adviser helps millennials save for retirement — and see the world along the way
RIAS JUL 15, 2022
Adviser helps millennials save for retirement — and see the world along the way

Richard Cooke has found a niche serving clients just like himself — millennials who love to travel.

Fintech Bytes: eMoney partners with Nationwide, Onramp closes funding
FINTECH JUL 15, 2022
Fintech Bytes: eMoney partners with Nationwide, Onramp closes funding

A roundup of the week's fintech developments, including news from eMoney, Onramp Invest, Tifin, Panoramix and iCapital.

Signs of stability, finally, at Wells Fargo Advisors?
PRACTICE MANAGEMENT JUL 15, 2022
Signs of stability, finally, at Wells Fargo Advisors?

Annualized revenue per financial adviser increased at Wells Fargo Advisors, according to second-quarter earnings, even though the market tanked during the first half of this year.

Naureen Hassan brings deep tech expertise to guide UBS digital shift
FINTECH JUL 15, 2022
Naureen Hassan brings deep tech expertise to guide UBS digital shift

Hassan, who will succeed Tom Naratil as president of UBS Americas, has served as Morgan Stanley’s chief digital officer and led the launch of Schwab’s robo-adviser.