Advisor News

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Bank customers are concerned about overregulation: ABA report
REGULATION AND LEGISLATION MAR 20, 2024
Bank customers are concerned about overregulation: ABA report

A banking industry survey reveals a high satisfaction with financial institutions.

By Steve Randall
BlackRock will lose management of $8.5B Texas fund assets
RETIREMENT PLANNING MAR 20, 2024
BlackRock will lose management of $8.5B Texas fund assets

The Texas State Board of Education delivered the blow Tuesday.

By Bloomberg
Why pre-retirees with a plan are better off in retirement
RETIREMENT PLANNING MAR 19, 2024
Why pre-retirees with a plan are better off in retirement

T. Rowe Price report reinforces benefits of formal financial planning on retirement wealth, confidence, and more for 401(k) participants.

By Leo Almazora
Flourish tightens ties with Focus under new tech partnership
RIA NEWS MAR 19, 2024
Flourish tightens ties with Focus under new tech partnership

Deal expanding access to tech solution comes as the independent wealth network eyes a new chapter of growth.

By Leo Almazora
Race, gender gaps in 401(k) use go beyond income, report finds
RETIREMENT PLANNING MAR 19, 2024
Race, gender gaps in 401(k) use go beyond income, report finds

Limits on early withdrawals from 401(k)s could help reduce disparities, researchers found.

By Emile Hallez
Raymond James taps Paul Reilly's successor
INDEPENDENT BROKER DEALERS MAR 19, 2024
Raymond James taps Paul Reilly's successor

Company announces only the fourth chief executive in its history.

By Bruce Kelly
B-D network Wentworth closes deal to go public
INDEPENDENT BROKER DEALERS MAR 19, 2024
B-D network Wentworth closes deal to go public

Using the company's stock creates opportunities for financing deals, CEO says

By Bruce Kelly
Voyant sweetens its wealth tech suite with new tools
RETIREMENT PLANNING MAR 19, 2024
Voyant sweetens its wealth tech suite with new tools

The fintech provider has added features to support Social Security income planning, Roth conversions, and life insurance planning.

By Leo Almazora
JPMorgan joins the sports investing league
INDEPENDENT BROKER DEALERS MAR 19, 2024
JPMorgan joins the sports investing league

Firm names co-leaders of new dedicated unit as valuations of sports teams soar.

By Bloomberg
Behavioral finance meets AI with launch of new fintech platform
FINTECH MAR 19, 2024
Behavioral finance meets AI with launch of new fintech platform

Partnership promises 'future of financial advice’ with digital assistant that helps to deepen advisors’ understanding of clients.

By Leo Almazora
Firms and advisors need an alt-friendly tech solution
OPINION MAR 19, 2024
Firms and advisors need an alt-friendly tech solution

As alternative investments grow in popularity, firms and advisors will need tech that enables them to provide better service to clients exposed to such assets.

By Akhil Lodha
Industry groups accuse SEC of trying to 'vastly expand its authority' over dealer rule
REGULATION AND LEGISLATION MAR 19, 2024
Industry groups accuse SEC of trying to 'vastly expand its authority' over dealer rule

Three associations say investors will lose out from expanded dealer definitions.

By Steve Randall
CalPERS has $34B bet on private equity, shifts from equities
RETIREMENT PLANNING MAR 19, 2024
CalPERS has $34B bet on private equity, shifts from equities

Largest US pension fund believes riskier assets will outperform.

By Bloomberg
UBS market cap smashes $100B threshold
WIREHOUSES MAR 19, 2024
UBS market cap smashes $100B threshold

It's been one year since the firm’s takeover of Credit Suisse.

By Bloomberg
Fintech iPipeline unveils annuity order tracker
FINTECH MAR 18, 2024
Fintech iPipeline unveils annuity order tracker

In a first for the industry, the platform offers advisors the ability to manage annuity purchases from multiple carriers in real time.

By Leo Almazora
Finra fines M1 Finance in landmark social media enforcement
REGULATION AND LEGISLATION MAR 18, 2024
Finra fines M1 Finance in landmark social media enforcement

The regulator hands down a $850,000 penalty after finding noncompliant promotional messages from M1's finfluencer army.

By Leo Almazora
Neuberger Berman inks direct indexing deal with Key Wealth
ALTERNATIVES MAR 18, 2024
Neuberger Berman inks direct indexing deal with Key Wealth

Wealth management firm adds custom SMA platform to its shelf of proprietary portfolio products for high-net-worth and ultra-high-net-worth clients.

By Leo Almazora
Has UBS missed the US wealth management M&A boom?
INDEPENDENT BROKER DEALERS MAR 18, 2024
Has UBS missed the US wealth management M&A boom?

Recent history shows that wealth management deals by giant banks like UBS can produce mixed results.

By Bruce Kelly
Texas anti-ESG laws costing state more than $700M, study says
REGULATION AND LEGISLATION MAR 18, 2024
Texas anti-ESG laws costing state more than $700M, study says

The restrictions have negative economic consequences, according to research supported by business groups.

By Emile Hallez
SEC sues two firms over bogus AI claims
REGULATION AND LEGISLATION MAR 18, 2024
SEC sues two firms over bogus AI claims

Delphia and Global Predictions both made 'false and misleading statements' about their use of artificial intelligence, the SEC says.

By Bloomberg