NetX360 will now offer portfolio management and re-balancing solutions from Blaze Portfolio and Portfolio Pathway, as well as Laser App forms management and configuration tools. In addition, NetX360 users will have access to Ebix Smart Office CRM software via a single sign-on.
New research into the complexities of Americans' financial lives is driving Merrill Lynch Wealth Management to change the way its advisers work with clients.
In a session Tuesday at the Securities Industry and Financial Markets Association's annual conference in New York, Mary Jo White reiterated that the SEC examines annually just 8% of its nearly 11,000 registered investment advisers.
The SEC has hired more and better professional examiners and any new registrants or any adviser who hasn't been vetted in the last 10 years "will be getting a visit this year," securities lawyer Thomas Giachetti said Monday at the Schwab Impact Conference..
Wealthbase, a new web and mobile application, connects advisers to consumers using algorithms that make matches based on expertise, location and availability. Wealthbase uses contextual links, the stock in trade of content marketers, to lead consumers from the website articles that they are reading to a live question-and-answer session with advisers.
The physician and financial planner on what advisers need to know about new health insurance choices
Open-enrollment for new state and federal insurance has begun, but many sites have long-loading times
Seek redefinition of 'retail,' exclusion of tax-exempt funds.
Social Security strategy normally reserved for couples allows unmarried to hedge their bets.
Legislators looking for ways to boost Americans' savings for retirement and access to advice.
Oppenheimer Holdings Inc. head municipal bond trader David Sirianni was fined $100,000 and suspended for 60 days by the Financial Industry Regulatory Authority Inc. for overcharging customers.
From tech systems advisory firms plan to replace to what social networks indie brokers say they use the most, here are five big technology trends impacting independent broker-dealers.
Three of the four wirehouses have announced tweaks to their adviser pay packages and incentives, with their sights set on courting the wealthiest clients.
Recent research shows that due to increases in Social Security's delayed-retirement credit, the real retirement age might now be 70.
PFS Investments Inc. this year has batted away a handful of similar arbitrations stemming from brokers' mismanagement of public pension plans in Florida.
The new iPad and hot apps may catch all the attention, but advisers need to focus on substance, rather than sizzle
Halloween is approaching and that means it's scary movie season. For many RIA firms, though, technology horrors aren't reserved for October. Check out some cautionary technology tales from the crypt.
