How to get sales and compliance on the same page
There needs to be a healthy working relationship between the powers screaming 'Now!' and those saying, 'Not so fast!'
Want to go RIA with annuities? Here’s where to start
Ditching your legacy annuities when going independent used to be commonplace but there are now more options, says industry insiders.
A look at Schwab’s TD migration, 8 months in
The company says it has been working to make former TD RIA clients happy, but smaller alternative custodians say they've been getting a lot of business.
Hedge funds are making a run for safety, says Goldman
Portfolio positioning data show a shift toward defensive stocks as investing pros turn skittish on rate uncertainty.
Where will RIA buying be strongest in the next year?
Inaugural M&A research reveals which wealth firm segment looks sweetest for dealmakers, aggregators, lenders, and consultants.
Betterment bolsters advisor offering with enhanced XYPN partnership
The wealth tech provider is giving fee-only advisors access to more resources and lowering barriers for those just getting started.
FusionIQ launches platform for breakaway advisors
From portfolio management to compliance and client onboarding, the new offering takes direct aim at common headaches for independent practices.
The life insurance need gap has hit a record high
Limra research finds more Americans than ever see a need for more coverage, but lack of knowledge still holds them back.
Barred Texas broker sold GPB fund without a license: SEC
"The only way to really address recidivism is through bringing criminal cases," one attorney said.
Wealthtech startup Altruist ascends to $1.5B valuation
The LA-based fintech challenging goliaths Schwab and Fidelity secures new fundraising after its revenue quintupled in 2023.
RFG welcomes former Edward Jones advisor in North Carolina
The breakaway advisor with 20 years of industry experience is launching his own practice for business owners and high-net-worth individuals.
LPL expands in Michigan with father-son advisor duo
The two breakaway advisors are launching their own independent practice after managing a book of $240M at Ameriprise.
Family, prudence shape Asian Americans’ financial habits
Fidelity research reveals multigenerational focus and hands-on stance on finances among Asian Americans and Pacific Islanders.
Cetera arms advisors with active ETF guidance
The broker-dealer and RIA network’s vetted list provides intel on active ETFs across equity, fixed income, and alternative asset classes.
Big asset managers silent over ESG backlash
Regulatory uncertainty, performance, and politicization has discouraged some advisors and fund shops.
BlueRock invests in Townsend for private wealth expansion as Aon sells firm
Alternative asset manager and investment firm will target wealthy individuals.
Most people overvalue their time, underestimate their retirement savings
Empower study reveals people’s perceptions are often way out.
Investors are impatient, they want big earnings
Lacklustre results from corporates wont cut it after stock rally.
World economic outlook looks better, avoids stagflation
OECD says inflation should prove less of a problem for many economies.
Why global money is buying Hong Kong stocks right now
Fed's interest rate decision has further fueled Hang Seng Index.
