Advisor News

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How advisers can win in an ever-evolving industry
OPINION MAR 09, 2021
How advisers can win in an ever-evolving industry

Advisers who leverage the power of team-building, financial planning and offering advice in a fiduciary capacity will survive and thrive for decades to come.

By Jerry Lombard
Orion acquires risk management fintech
FINTECH MAR 09, 2021
Orion acquires risk management fintech

The platform it's buying, HiddenLevers, allows advisers to perform portfolio- or security-level stress tests to measure sensitivity to macro-level risks.

By Nicole Casperson
Wall Street needs to come clean on diversity data
FINTECH MAR 09, 2021
Wall Street needs to come clean on diversity data

Opening up the books will put pressure on companies to hire more women and also allow the industry to acknowledge the firms that succeed. There’s no reason for companies to keep investors in the dark about diversity.

By Sean Allocca
INmail: Social Security wants its money back
RETIREMENT PLANNING MAR 08, 2021
INmail: Social Security wants its money back

When a family member dies, the Social Security office will often ask for the last check back.

By Mary Beth Franklin
Medicare questions spike as boomers work past 65
RETIREMENT PLANNING MAR 08, 2021
Medicare questions spike as boomers work past 65

Financial advisers are being bombarded with questions about whether clients need to enroll in Medicare.

By Mary Beth Franklin
Clock starts ticking on November 2022 compliance for SEC ad rule
FINTECH MAR 08, 2021
Clock starts ticking on November 2022 compliance for SEC ad rule

The 430-page rule updates the agency's marketing oversight for the first time since 1961 and applies to social media communications.

By Mark Schoeff Jr.
Fintech Q&A: Ally Invest President Lule Demmissie
FINTECH MAR 08, 2021
Fintech Q&A: Ally Invest President Lule Demmissie

Ally Invest President Lule Demmissie shares her experience as a leading woman in fintech breaking down internal barriers for gender equity.

By Nicole Casperson
Northwestern Mutual team managing $250 million goes indie
INDEPENDENT BROKER DEALERS MAR 08, 2021
Northwestern Mutual team managing $250 million goes indie

Vedder Group, a four-person team in Tallahassee, Florida, is using the services of Integrated Partners, with Fidelity as its custodian.

By InvestmentNews
Strategies for maximizing clients’ charitable impact in 2021
OPINION MAR 08, 2021
Strategies for maximizing clients’ charitable impact in 2021

Take advantage of an environment that's favorable for charitable giving to engage in tax-smart, high-impact philanthropy.

By Caleb Lund and Hayden Adams
Women leading wealthtech's evolution
FINTECH MAR 08, 2021
Women leading wealthtech's evolution

CEOs and other women in the fintech C-suite are spearheading the sector's progression and paving pathways for gender equity.

By Nicole Casperson
Women more likely to step forward in financial services if treated fairly
OPINION MAR 08, 2021
Women more likely to step forward in financial services if treated fairly

Advancing women in the workplace must be a wealth management priority. Here are ways firms can create change.

By Shirl Penney
Best Places to Work firms navigate the lockdown
OPINION MAR 08, 2021
Best Places to Work firms navigate the lockdown

Some firms offered help with the cost of technology or other tools employees needed to make it easier to work from home, while others offered fitness distractions by moving weekly employee yoga classes online.

By InvestmentNews
It’s time to talk about Bitcoin
ALTERNATIVES MAR 08, 2021
It’s time to talk about Bitcoin

Advisers don’t have to join the bulls, but they better join the discussion.

By George Moriarty
Wells Fargo team managing $400 million moves to UBS
PRACTICE MANAGEMENT MAR 05, 2021
Wells Fargo team managing $400 million moves to UBS

The father-and-son team at Dawson Wealth Management Group joins the wirehouse in San Diego.

By InvestmentNews
Team managing $600 million at Merrill Lynch goes to Rockefeller
RIA NEWS MAR 05, 2021
Team managing $600 million at Merrill Lynch goes to Rockefeller

A three-adviser, three-associate team is joining the firm in San Antonio.

By InvestmentNews
The risk of lawsuits against retirement plan advisers and aggregators
OPINION MAR 05, 2021
The risk of lawsuits against retirement plan advisers and aggregators

Lawsuits increasingly draw in other plan service providers, ranging from record keepers to product solutions providers, plan advisers and others.

By David Levine
Entire SEC must be involved in climate risk, ESG policy changes, says member Peirce
REGULATION AND LEGISLATION MAR 05, 2021
Entire SEC must be involved in climate risk, ESG policy changes, says member Peirce

The GOP commission member said the agency should provide guidance before bringing enforcement cases

By Mark Schoeff Jr.
New York Life to pay $10.9 million for annuity replacement violations
RETIREMENT PLANNING MAR 05, 2021
New York Life to pay $10.9 million for annuity replacement violations

New York state says the insurer failed to adequately inform consumers about the differences between products.

By InvestmentNews
Principal, Red Cross sued over 401(k)s
RETIREMENT PLANNING MAR 05, 2021
Principal, Red Cross sued over 401(k)s

Plaintiffs in the separate cases allege the sponsors allowed the plans to have excessive investment-management and record-keeping fees.

By Emile Hallez
More changes at Wells Fargo Advisors, this time to management
PRACTICE MANAGEMENT MAR 05, 2021
More changes at Wells Fargo Advisors, this time to management

The bank continues to cut costs and simplify its broad wealth management business. Just last month, Wells Fargo said it was selling its asset management business, with $600 billion in assets, to two private equity managers.

By Bruce Kelly