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The journey from financial advisers to tech entrepreneurs

October 2, 2016

David Lyon remembers the moment he realized that all the sophisticated analyses and detailed financial work that his advisory firm produced for clients actually made their lives more difficult instead of easier. It was 2011, and Mr. Lyon was...

Tech-tardy advisers, prepare for a late-adopter penalty

September 27, 2016

Financial advisers need to step up their technology game or face losing some current clients, as well as the opportunity to serve entire new customer segments, fintech experts said. “As an industry we are late adopters of technology because...

Financial advisers severely underestimating cyberthreats: experts

September 20, 2016

The biggest technology threat to the financial advisory industry might be underestimating the risk of a technology threat in the form of a determined hacker or illusive virus. According to a panel of technology security experts speaking Monday...

Take 5: Kunal Kapoor, Morningstar's next CEO, says advisers must demonstrate their value through technology

September 7, 2016

Morningstar's board of directors selected Kunal Kapoor, 41, to be the company's new CEO, succeeding founder Joe Mansueto, who will become executive chairman. InvestmentNews talked to Mr. Kapoor and asked him about Morningstar's role with advisers...

Salesforce expands data analytics in financial services CRM program

September 1, 2016

Salesforce is tapping into the world of data analytics for its financial services-specific CRM, attempting to pair advisers with the power of sifting through their own client information. Advisers will view their clients by segments, including...

LPL placing heavy focus on technology improvements

August 23, 2016

To stay up to date with technological innovations, the independent broker-dealer LPL Financial is developing more tools for its new adviser dashboard and implementing smarter automation. At last year's LPL Focus, the company's annual conference,...

XY Planning Network's fintech contest introduces innovative software ideas

August 11, 2016

Start-up technology vendors have responded in full force to XY Planning Network's call for innovative adviser-focused financial software. Six finalists with software for various adviser needs, including client prospecting and advising on student...

Robo-advisers increasingly represent a useful ally for human advisers

July 21, 2016

We are witnessing the beginning of a fusion between financial advisers and technology, which are coming together to be more competitive and offer holistic solutions to a broader range of clients. This robo-advising or digital advisory is not...

myMoneyGuide comes back from three-month hiatus with upgrades

July 6, 2016

myMoneyGuide, a financial planning tool from the creators of MoneyGuidePro, is back online after a three-month hiatus, during which the company was making revisions. The tool, which first rolled out in October last year and allows advisers'...

Why financial advisers should focus on readiness before growth

June 30, 2016

It seems that the goal of every advisory firm is growth. Whether the objective is greater AUM or more revenue, growth is the most sought-after attribute. Yet, is it right to focus on growth before readiness? Growth can come through passive or...

Vanguard CEO Bill McNabb tells advisers to embrace robos or fall behind

June 16, 2016

The Vanguard Group has a message for financial advisers: Stop resisting the robo-advice movement and instead, run toward it with gusto. Speaking Wednesday in Chicago at the Morningstar conference, Vanguard chief executive William McNabb said...

XY Planning Network on the hunt for innovative financial adviser technology for young clients

June 15, 2016

XY Planning Network, the organization of advisers serving Gen X and Gen Y clients, is searching for new software vendors to address the financial planning issues of young clients. In an attempt to find these innovators, the group, which has...

Beating robo-advisers at their own game

June 15, 2016

I'm attending the Morningstar Investment Conference in Chicago, beginning with a panel titled "Adviser technology: incorporating the latest tools into your practice." Moderated by technology expert Joel Bruckenstein, panelists James Dowd of...

Microsoft-LinkedIn deal could boost adviser productivity, expand client base

June 13, 2016

Microsoft announced Monday it was acquiring professional social networking website LinkedIn for $26.2 billion, a deal that could prove beneficial for financial advisers. In two separate memos, the chief executives of Microsoft and LinkedIn said...

How software can help smooth the transition to fiduciary-rule compliance

June 9, 2016

Although the U.S. Department of Labor's (DOL) fiduciary rule has become the subject of two new lawsuits that could delay implementation, many investment advisers, brokers-dealers and other firms that offer retirement accounts are making operational...

Pershing's API store highlights potential, complexities of open architecture

June 8, 2016

Pershing has released six pieces of code financial firms can use to build customized versions of their software. Integration is one of the top items on Pershing's to-do list this year. The custodian and its parent company, Bank of New York Mellon,...

Software to make compliance easy for financial advisers

June 7, 2016

Following through and documenting ongoing compliance tasks can sometimes be overwhelming. Yet, this is a reality all financial advisers must face. From returns dispersion to reporting, billing to fee schedules, advertising to gift recording,...

Lack of regulation on CRM note-taking can put advisers in sticky software scenarios

June 3, 2016

A recent Finra case underscores the trouble advisers can find themselves in when modifying notes on their client relationship management systems. In May, the Financial Industry Regulatory Authority fined Ameriprise representative David B. Tysk...

Morningstar acquires bond analytics firm InvestSoft Technology

June 1, 2016

Morningstar has acquired InvestSoft Technology, a fixed-income analytics software provider, it announced in a press release. The purchase was made in response to clients' requests for more fixed-income capabilities, said Frannie Besztery, head...

Don't fear the robo: Some millennials like working with human financial advisers

May 27, 2016

New research suggests that some tech-crazy millennial investors are moving beyond the robos to work closely with human financial advisers. Phoenix Marketing International calls them Active Wealth Millennials, a group with a minimum $100,000...

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