Results for "technology"

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Treasury recommends lighter regulatory touch for fintech companies

July 31, 2018

The Treasury Department is calling for a more flexible regulatory approach to financial technology companies that enables "responsible experimentation in the financial sector, improves regulatory agility and advances American interests abroad."...

Finra asking firms for comments on fintech innovation

July 30, 2018

The Financial Industry Regulatory Authority Inc. has sent a special notice to member firms asking for comments on how it can support financial technology innovation. In addition to its general request, Finra is asking for comments in specific...

LPL CEO Dan Arnold acknowledges mistakes in firm's technology rollout

July 30, 2018

LPL Financial's Focus 2018 kicked off in Boston Monday with CEO Dan Arnold acknowledging some "missteps" in the firm's rollout of its new technology platform for advisers, ClientWorks. According to advisers attending the event, Mr. Arnold and...

Tech bloodletting approaches $300 billion

July 30, 2018

The rush to get out of U.S. tech stocks entered its third day Monday as concerns mounted over how the storied FAANG bloc will fare amid rising interest rates and slower growth. All of the FAANGs retreated, with Facebook Inc. sinking 3.3% and...

Is it better to meet with clients in person or online?

July 27, 2018

Is it better to meet with a client in person, or virtually? It depends on who you ask. According to research from FactSet, a data analytics provider, high-net-worth individuals now conduct 44% of their interactions with an adviser online. The...

LPL brokers can now use SS&C Advent's Black Diamond

July 26, 2018

LPL Financial continues to deepen the bench of third-party technology available to its financial advisers this week. The nation's largest independent broker-dealer announced Thursday that SS&C Advent's Black Diamond Wealth Platform, a portfolio...

It's 2018. Social media is no longer optional

July 26, 2018

"I've been doing this for 25 years. I didn't need social media then, I don't need it now, and I'll never need it in the future if I keep doing what I'm doing." Those are not the words of a financial adviser. They are the words of a journalist,...

How to get to Inbox Zero

July 26, 2018

Between that last email subscription you don't remember signing up for and the frequent office blasts, email can feel unwieldy, to say the least. And achieving Inbox Zero — the austere approach that dictates getting your inbox to the zen state...

Wealthfront wants to help millennials take a sabbatical

July 25, 2018

The latest tool in Wealthfront's expanding financial planning utility belt is "Time Off for Travel," a service that lets the digital adviser's clients explore the possibility of taking an extended leave from work. Drawing on information provided...

Systems glitch sends erroneous text messages to some Vanguard customers

July 25, 2018

Some participants in 401(k) accounts administered by the Vanguard Group received an erroneous text message Tuesday night saying that a loan from the account was being processed and the proceeds would soon be sent to the account holder's bank....

Ladenburg bets advisers will serve more self-employed clients in the future

July 25, 2018

Ladenburg Thalmann Financial Services is investing in Track Technologies, an early-stage tech startup that provides tax automation for independent contractors, freelancers and other self-employed people. It's the first investment to result from...

Cybersecurity remains top RIA compliance concern

July 25, 2018

The biggest compliance concern at RIA firms is cybersecurity, according to a survey of 454 registered investment advisory firms conducted by the Investment Advisers Association and ACA Compliance Group. For the fifth year in a row cybersecurity...

Ameriprise to switch CRM for nearly 10,000 advisers in 2019

July 25, 2018

Ameriprise Financial Inc. will switch up a key piece of technology for its 9,906 brokers and financial advisers next year when it changes its customer relationship management system to industry leading Salesforce.com Inc. One Ameriprise adviser,...

LPL integrates Riskalyze with ClientWorks

July 24, 2018

Riskalyze has been integrated with LPL Financial's ClientWorks platform to provide improved account synchronization and monitoring to the 2,500 LPL advisers who use the digital risk assessment tool. Advisers now can link clients' Riskalyze profiles...

Amazon could be in prime place to shake up asset management industry

July 24, 2018

Amazon.com Inc. is well positioned to shake up the asset management industry, according to a new strategy report from Sanford C. Bernstein & Co. The Seattle-based company's broad customer base and online platform would give it an edge among...

Why advisers are turning to Facebook ads to fill seminar seats

July 24, 2018

Financial planning seminars share much in common with the poet Henry Wadsworth Longfellow's curly headed little girl. To paraphrase, when they're done well, they're very, very good — and when they're bad, they're horrid. That's right; most...

State Street uses AI to provide a newsfeed relevant to portfolio holdings

July 19, 2018

State Street Corporation is the latest financial institution to introduce an artificial intelligence application designed for professional investors. On Monday, the company launched State Street Verus, an application that builds a newsfeed that...

Pershing draws inspiration from consumer apps to drive RIA tech strategy

July 18, 2018

Technology's impact on everyday behavior has already forced advisers to rethink how they serve clients. Now it's forcing custodians to reconsider how they're serving advisers. At an RIA Symposium in New York Tuesday, Evan LaHuta, managing director...

RIA 'Shark Tank' backs a digital adviser out of the gate

July 17, 2018

Consolidation among consumer-facing digital advice firms isn't stemming the flow of funds into robo platforms designed for financial advisers. ScratchWorks, a Shark Tank-esque program for financial technology founded by five independent registered...

Getting to scale — the virtual solution

July 17, 2018

The industry may be adding registered investment advisers annually, but it's also consolidating at a record pace for one reason: the power of scale. Highly competitive,, aggressive growth RIAs are reshaping the landscape. Armed with capital,...

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