Advisor News

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US SIF updates ESG guidance ahead of Labor Department proposal
RETIREMENT PLANNING SEP 08, 2021
US SIF updates ESG guidance ahead of Labor Department proposal

The guide has new information about the Department of Labor’s forthcoming regulations, which are expected to effectively reverse rules implemented last year that had a chilling effect on the use of ESG in 401(k)s.

By Emile Hallez
Wells Fargo adviser managing $190 million joins Baird
PRACTICE MANAGEMENT SEP 08, 2021
Wells Fargo adviser managing $190 million joins Baird

Margaret Wilkin is joining a Baird office in Roseville, California.

By InvestmentNews
Britney Spears’ father files petition to end conservatorship
RETIREMENT PLANNING SEP 08, 2021
Britney Spears’ father files petition to end conservatorship

The pop star’s attorney calls the court filing a ‘vindication’ of her efforts to regain independence.

By InvestmentNews
Adviser managing $300 million at Morgan Stanley joins LPL
INDEPENDENT BROKER DEALERS SEP 08, 2021
Adviser managing $300 million at Morgan Stanley joins LPL

Francis Ciocari is affiliating with the firm through super OSJ Gladstone Wealth Partners and will be opening an office in Blue Bell, Pennsylvania.

By InvestmentNews
Prepping fintech platforms for the next cyberattack
FINTECH SEP 08, 2021
Prepping fintech platforms for the next cyberattack

It’s critical for fintech firms to have incident response plans if a catastrophic event and subsequent cyberattack were to happen.

By Nicole Casperson
House Ways and Means Committee to vote on auto-IRA legislation
RETIREMENT PLANNING SEP 07, 2021
House Ways and Means Committee to vote on auto-IRA legislation

Under the legislation, which could become part of the $3.5 trillion budget bill working its way through Congress, employers that don't offer a retirement plan would have to establish an auto-IRA or 401(k) for their workers.

By Mark Schoeff Jr.
SEC marketing rule causes advisers most compliance concerns
RIA NEWS SEP 07, 2021
SEC marketing rule causes advisers most compliance concerns

Even though advisers don’t have to comply with the rule for more than a year, it ranked as the hottest compliance topic, according to a survey; cybersecurity and climate change/ESG were other areas worrying advisers.

By Mark Schoeff Jr.
San Francisco 49ers push finlit with robo-adviser Stash
FINTECH SEP 07, 2021
San Francisco 49ers push finlit with robo-adviser Stash

The NFL franchise will expose Stash’s financial literacy programs to 6 million fans via social media and 11 million viewers that watch the team during a broadcasted game.

By Nicole Casperson
Investing in a disruptive climate
OPINION SEP 07, 2021
Investing in a disruptive climate

Adapting to the changing climate also includes taking into account advances in technology, such as in medicine, energy, transportation, space travel, artificial intelligence and computing. We need to analyze our current investments and consider updating our portfolios.

By Scott Schwartz
LPL grabs former Voya team with $400 million in assets
INDEPENDENT BROKER DEALERS SEP 07, 2021
LPL grabs former Voya team with $400 million in assets

LPL made clear it was eyeing Voya financial advisers after Cetera Financial Group Inc. said it was buying the firm in February.

By Bruce Kelly
Great service is assumed. A full client experience is not
OPINION SEP 07, 2021
Great service is assumed. A full client experience is not

Rather than focusing on servicing clients, think instead of creating a great client experience — something that's very different.

By Kristine McManus
Hub buys $428M fee-only advisory firm
RETIREMENT PLANNING SEP 07, 2021
Hub buys $428M fee-only advisory firm

Millennium Advisory Services provides financial planning and advice to employees of colleges and universities, as well as to endowments and foundation boards.

By Emile Hallez
Advisory Back Offices: The Next Efficiency Frontier
FINTECH SEP 07, 2021
Advisory Back Offices: The Next Efficiency Frontier

The time is right to focus on back-office efficiency. Docupace’s Ryan George explains why the payoff in efficiency, better customer service and reduced costs can so rewarding.

By Docupace
Why Michael Jordan invested in estate planning startup Vanilla
RETIREMENT PLANNING SEP 07, 2021
Why Michael Jordan invested in estate planning startup Vanilla

The basketball legend is among the investors participating in an $11.6 million funding round for Vanilla, which was founded by Steve Lockshin in 2019 to fully digitize estate planning for registered investment advisers.

By Nicole Casperson
NextCapital co-founder steps down
RETIREMENT PLANNING SEP 07, 2021
NextCapital co-founder steps down

Rob Foregger, who led the establishment of the fintech firm in 2013, left his day-to-day responsibilities at the company in May, but is still a shareholder and adviser.

By Emile Hallez
How the advisory industry has been preparing for the next 9/11 event
FINTECH SEP 07, 2021
How the advisory industry has been preparing for the next 9/11 event

In the two decades since 9/11, the financial industry has been preparing for the next terrorist attack, in whatever form it might take.

By Mark Schoeff Jr.
Automating Process: The Key to Efficiency and Value Creation
FINTECH SEP 07, 2021
Automating Process: The Key to Efficiency and Value Creation

Glamorous it’s not. But Docupace’s Ryan George explains why the route to greater firm efficiency, more satisfied clients and more productive advisors lies in automating back-office processes.

By Docupace
Investor advocate comes off the sidelines, gets into the regulatory game
REGULATION AND LEGISLATION SEP 03, 2021
Investor advocate comes off the sidelines, gets into the regulatory game

Even before drawing her first government paycheck, Barbara Roper has influenced how the SEC under Gary Gensler is approaching Regulation Best Interest.

By Mark Schoeff Jr.
Former lawyer to pay $42 million for life insurance fraud
RETIREMENT PLANNING SEP 03, 2021
Former lawyer to pay $42 million for life insurance fraud

Defendants in the long-running case have been ordered to pay restitution to more than 200 plans. Assets were allegedly siphoned from benefits payments to buy property and used for other personal expenses.

By Emile Hallez
Fund managers feel heat as SEC cracks down on inaccurate ESG labels
REGULATION AND LEGISLATION SEP 03, 2021
Fund managers feel heat as SEC cracks down on inaccurate ESG labels

For several months, SEC examiners have been demanding that money managers explain the standards they use for classifying funds as environmental, social and governance-focused.

By Bloomberg