Plus Pontera integrates with Envestnet, Tifin announces Morningstar collaboration, and Hearsay adds features to Sites.
The effort, the latest in an overall anti-ESG push from conservatives, is largely symbolic.
As it enters its fifth year, Investor.com has been redesigned to make it easier for investors to digest a financial firm's disciplinary history and conflicts.
But CEO Dan Arnold is optimistic about the start of 2023, noting that the fourth quarter was the best period for recruiting last year and predicting that momentum will carry over into the first quarter.
The social media company is cutting off free access to its API, which will impact archiving tools used by financial advisors.
The firm declined to comment about Jim Dickson's sudden departure from Sanctuary Wealth, which he had led since 2018.
Wells Fargo alleged that a 'coordinated' effort to lure away advisors depleted an Arkansas branch office, forcing it to close.
There were 88 excess fee lawsuits against retirement plans last year, the second most ever, and Daniel Aronowitz of Euclid Fiduciary expects another busy year.
The self-regulator claimed the reps traded excessively in the accounts of elderly customers.
Daniel Laiter will join Alex Brown's Brickell Avenue branch in Miami.
U.S. Virgin Islands claims the bank turned a blind eye to Epstein sex-trafficking, calling the allegation a 'masterclass in deflection.'
The majority of account holders contributed more to their HSA than they took out in 2021. But only 12% invested their HSAs in assets other than cash.
eMoney Advisor and FP Alpha have tools to help advisors with Roth conversions.
While advisors are in no immediate danger of displacement, simply repeating the 'people will always need a human advisor' mantra won’t stop the inevitable march of progress.
An SEC risk alert this week warned firms that surveillance systems fell short in ensuring reps consider costs and reasonably available alternatives. Will enforcement be next?
Smaller firms can still flourish amid the rampant M&A activity, but they need to employ targeted client development and strategic outsourcing.
It's safe to say that the more adept you are at selecting, implementing and utilizing the available technologies, the better off your practice and your clients will be.
The 90-year-old active management complex is launching 12 model portfolios that combine its active mutual funds with ETFs from Schwab, Vanguard and BlackRock.
Last year, the agency managed to examine about 16% of all advisors, but it aims to do more exams in 2023.
The pooled employer plan is going live as the Department of Labor's new ESG rule takes effect.
