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Digital innovation is alive and well at T3 2023
The exposition hall was teeming with newly launched companies and fresh faces making their first appearance.
What does ChatGPT mean for the future of retirement planning?
ChatGPT is in the 'experimental phase,' and it will be a while before the industry adopts the technology for retirement investing.
SEC proposes new cybersecurity requirements for broker-dealers
The proposal is similar to one the SEC released last year that focuses on investment advisors. The SEC also extended the comment period for the advisor proposal.
Custody newbie Altruist claims No. 3 spot with SSG acquisition
In less than two weeks, Altruist's custody business grows from zero to more than 3,000 RIA clients, with only Schwab and Fidelity having more RIA relationships.
Sticking with WORM may leave advisory firms in the dust
The SEC's amendment to rule 17a-4 represents a tremendous opportunity to bring firms' record-keeping systems into the 21st century.
Morgan Stanley partners with OpenAI on internal chatbot for its advisors
Answers to advisors' questions will be generated exclusively using Morgan Stanley's library of content and data.
T3 2023: Few firms adopting cybersecurity tools
Also at this year's conference, MoneyGuide founder Bob Curtis returns with a vision for a new fintech, while executives from Envestnet and Advisor Engine provide updates.
SEC inquiry targets Edward Jones brokers’ use of messaging apps
Keeping tabs on texts and messaging has been difficult for the industry, and fines have been mounting.
Catchlight delivers prospecting fintech to Advisors Excel
The firm provides marketing services to more than 500 independent advisors; its affiliated RIA, AE Wealth Management, will make the tool available to its advisors.
Trading app fined $3M for letting youngsters trade options spreads
Webull Financial failed to conduct adequate due diligence on customers, Finra found, but the company did not admit or deny fault.
Fintechs finding new ways to bring AI to advisors
The latest comes from FMG Suite, which announced a new AI engine that will automatically generate personalized social media content.
Matt Brinker joins Absolute Engagement’s advisory board
The 25-year industry veteran and managing partner of Merchant Investment Management works extensively with RIAs.
Reflections on Michael Kitces’ fintech map
The expansion of the map over the last five years shows the innovation that's occurring in the fintech sector and the many choices available to advisors.
Fintech Bytes: RBC selects Vestwell, Riskalyze partners with Opto
Plus, BetaNXT acquires Mediant Communications, Advisor360 hires a tech executive from Amazon Web Services, and InvestCloud innovates asset management distribution.
What buzzy fintech innovations can advisors expect this year?
Over the next month, thousands of financial advisors will travel to Florida to learn about the latest technology and how it can improve their practice.
Wealthfront introduces individual stock picking
Investors can now buy and sell stocks and fractional shares with zero trading commissions, marking a shift from the company's previous emphasis on the value of passive investing.
Finra encourages brokers to increase scrutiny, controls when using finfluencers
The regulator releases an update to an exam sweep probing how member firms tout themselves on social media.
LPL facing SEC investigation into unapproved personal devices
LPL's disclosure follows a crackdown by US regulators on financial firms' failure to monitor employee communications on messaging apps.
BlackRock closes FutureAdvisor’s retail business, moves clients to Ritholtz Wealth
FutureAdvisor joins a growing roster of robo-advisors that have closed up shop, including RobustWealth and Motif Investing.
Orion reveals ChatGPT integration at Ascent conference
An integration with Redtail Speak, a compliant texting service, is just the beginning of the company's plans to bring artificial intelligence into its technology.
