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Finra employees saw a 4.7% comp bump in 2023
INDEPENDENT BROKER DEALERS JUL 17, 2024
Finra employees saw a 4.7% comp bump in 2023

"No one has ever gone hungry working for Finra," said one compliance executive.

By Bruce Kelly
Finra adds enforcement muscle with SVP hires
REGULATION AND LEGISLATION JUL 17, 2024
Finra adds enforcement muscle with SVP hires

The industry regulator has tapped two legal luminaries to newly established positions following a report questioning its thin 2023 record.

By Leo Almazora
InvestCloud forges partnership with Focus firm Buckingham
FINTECH JUL 17, 2024
InvestCloud forges partnership with Focus firm Buckingham

The global wealth tech provider is helping the $70B RIA firm boost its advisors’ efficiency through a multi-phase project.

By Leo Almazora
Transamerica hires industry veteran in bid to become leading life insurance, retirement firm
RETIREMENT PLANNING JUL 17, 2024
Transamerica hires industry veteran in bid to become leading life insurance, retirement firm

New hire will head up Inforce Management & Client Engagement team.

By Steve Randall
The benefits of including annuities as an RIA
RIA NEWS JUL 16, 2024
The benefits of including annuities as an RIA

Annuities generate and increase revenue, and provide structural advantages, DPL founder and CEO says.

By Josh Welsh
Morgan Stanley increases cash sweep pricing for advisory clients
INDEPENDENT BROKER DEALERS JUL 16, 2024
Morgan Stanley increases cash sweep pricing for advisory clients

"The impact of these intended changes will be largely offset with the expected gains from the repricing of our investment portfolio," says Morgan Stanley executive.

By Bruce Kelly
DOL is overreaching its authority again, fiduciary rule critics tell Texas federal court
RETIREMENT PLANNING JUL 16, 2024
DOL is overreaching its authority again, fiduciary rule critics tell Texas federal court

Representatives of life insurance and annuity issuers argue the labor department’s defense suffers the same weaknesses as its 2016 predecessor.

By Leo Almazora
Peak 65 women face outsized retirement risks, says the Alliance for Lifetime Income
RETIREMENT PLANNING JUL 16, 2024
Peak 65 women face outsized retirement risks, says the Alliance for Lifetime Income

Research finds women more financially vulnerable as they have less assets and benefits in their peak retirement years compared to men.

By Leo Almazora
Four ways to develop and retain relationship capital
OPINION JUL 16, 2024
Four ways to develop and retain relationship capital

Reap the benefits of paying careful attention to what's important to your clients.

By Kristine McManus
WhatsApp imposters latest headache for advisors and clients
INDEPENDENT BROKER DEALERS JUL 16, 2024
WhatsApp imposters latest headache for advisors and clients

App is playing an outsized role in advisor communications and it’s not just the hefty fines that have firms worried

By Bruce Kelly
LPL bolsters tech leadership with new CTO
FINTECH JUL 16, 2024
LPL bolsters tech leadership with new CTO

The firm welcomes a 25-year industry veteran with experience from Wells Fargo to shore up its infrastructure, operations, and risk platforms.

By Leo Almazora
Revealed: Our 5-Star Broker-Dealers for 2024
INDEPENDENT BROKER DEALERS JUL 16, 2024
Revealed: Our 5-Star Broker-Dealers for 2024

From bringing in quality producers to focusing on the advisor experience, InvestmentNews’ 5-Star IBDs for 2024 are doing what it takes to succeed their way.

By Leo Almazora
wealth.com strikes fintech partnership with Integrated Partners
FINTECH JUL 16, 2024
wealth.com strikes fintech partnership with Integrated Partners

The national RIA is teaming up with the estate tech firm to double down on its commitment to help financial-planning focused advisors.

By Leo Almazora
How to implement a successful transition
OPINION JUL 15, 2024
How to implement a successful transition

Key things to consider when transitioning out of profession.

By Scott Hanson
Wells Fargo discloses problems with fees on cash
INDEPENDENT BROKER DEALERS JUL 15, 2024
Wells Fargo discloses problems with fees on cash

"Do these disclosure issues and conflicts at Wells Fargo also exist at peers," one industry executive asked.

By Bruce Kelly
SMArtX update helps smooth out tax drag in SMAs
FINTECH JUL 15, 2024
SMArtX update helps smooth out tax drag in SMAs

The managed accounts tech firm’s new tool aims to help financial advisors reduce the tax impact of switching investment models.

By Leo Almazora
Osaic beefs up its retirement income planning platform
RETIREMENT PLANNING JUL 15, 2024
Osaic beefs up its retirement income planning platform

With more than $4b in retirement assets planned per year, the firm is putting even more advanced strategies within advisors’ reach.

By Leo Almazora
The AI invasion has begun, and we are not ready
RIA NEWS JUL 15, 2024
The AI invasion has begun, and we are not ready

To survive, advisors must use the technology as an ally, says columnist Joe Duran.

By Joe Duran
Wells Fargo's focus on independent advisors taking shape
INDEPENDENT BROKER DEALERS JUL 12, 2024
Wells Fargo's focus on independent advisors taking shape

"FiNet has made very noticeable increases in support staffing to practices," said one industry source.

By Bruce Kelly
Inflation has hit hard for nearly half of older adults
RETIREMENT PLANNING JUL 12, 2024
Inflation has hit hard for nearly half of older adults

New research finds nine-tenths of adults aged 50 and older have felt its impact in the past year, with some cohorts reporting an outsized burden.

By Leo Almazora