LPL made clear it was eyeing Voya financial advisers after Cetera Financial Group Inc. said it was buying the firm in February.
Rather than focusing on servicing clients, think instead of creating a great client experience — something that's very different.
Millennium Advisory Services provides financial planning and advice to employees of colleges and universities, as well as to endowments and foundation boards.
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.
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.
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.
In the two decades since 9/11, the financial industry has been preparing for the next terrorist attack, in whatever form it might take.
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.
Even before drawing her first government paycheck, Barbara Roper has influenced how the SEC under Gary Gensler is approaching Regulation Best Interest.
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.
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.
The regulator sued five BitConnect promoters in May for their roles in promoting the scheme by creating testimonials on YouTube, sometimes multiple times a day.
The agency is considering more stringent disclosure requirements for investment funds amid concerns that some fund managers are making unfounded ESG claims.
The conference, originally scheduled for Oct. 20-22, will now take place on May 4-6, 2022 at the Aria in Las Vegas. The move follows other recent postponements of tech-related events.
ESG ETFs have investments related to solving social issues in the country such as racial disparities and better health care.
Paige Pierce, chief executive of Bley Investment Group, emphasized updating the Finra rulebook during her campaign. Timothy Sheve, chief executive of Janney Montgomery Scott, and James Crowley, chief executive of Pershing Advisor Solutions, also were elected to the board.
The former lieutenant governor of Maryland has been one of the driving forces in that state's forthcoming auto IRA program.
Loh served as vice president of digital advice and innovation and oversaw the Intelligent Portfolio automated advice platform at Schwab. The hire emphasizes the bank’s recent push to utilize technology offerings to serve the mass affluent market.
Researchers have raised questions about the credentials of money managers who claim they are marketing funds designed to address the climate crisis and social injustice.
Plan sponsors are clamoring for solutions to help employees with their financial issues. Student loans and emergency savings programs are two easy, simple and impactful ways that the DC industry can help.
