This version lets RIAs use their own branding; apps can be submitted to Apple or Google stores.
A new tool can help resolve an age-old debate
To help advisers compete, executives announce rollout of update to VEO platform, intern network and a new retirement plan platform.
Internal rate of return on these businesses, in order to justify their capital outlay, will be the true measure of success. And their angel investors will pull the plug if they don't deliver.
To be referable to the clients of CPAs, you need to be recognized as being a top 2% financial adviser. Are you?
A group of medical professionals claim their employer's retirement investments were unfairly expensive
But there is an exception to the two-year divorce rule.
Why is now a good time to consider marketing to physicians? Frankly, because many physicians qualify as high-net-worth investors and have cash to invest.
The SEC requires advisers to provide the best execution for their clients' trades. This obligation is an evolving standard that necessarily involves a “facts and circumstances” analysis.
People working for the SEC who owned stock in companies under investigation were more likely to sell shares than other investors in the months before the agency announced it was taking enforcement actions, according to a new academic paper.
Software can add efficiency and reduce personnel hours. Everyone knows that. But there are other significant savings to be gained from automation
The Securities and Exchange Commission won an appeals court ruling that may allow it to collect illegal proceeds from money managers who engage in insider trading even when their firms got all the profit.
With investors of all asset levels attracted to self-directed trading platforms, advisers need to keep up with all the do-it-yourself online offerings because the DIY channel is mainstream.
A new paper by Wade D. Pfau and Michael Kitces turns conventional retirement income strategy on its head.
Depends on where client is - living modestly in early years or enjoy days to fullest.
Pfau explains two strategies that depend on flexibility of the client.
Triad Advisors, Securities America failed to supervise reps who created and sent inaccurate consolidated account statements to clients, regulator says.
