Wealthtech powerhouses Riskalyze and AssetMark are leveraging integrations and the personalization trend to capture adviser attention.
Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.
The measure has drawn strong opposition from financial industry trade associations. In a March 4 letter to House leaders, 14 groups warned that the bill 'would cause significant disruption to the independent financial services and property casualty insurance industries and the customers we serve.'
The two rules were among the most heavily contested measures instituted by the DOL under former Secretary Eugene Scalia, with the 401(k) rule drawing nearly 9,000 public comments, most of which opposed it.
The agency cautioned against investing in blank-check companies based on endorsements from pro athletes or famous musicians.
Social Finance says its acquisition of Golden Pacific Bancorp will aid its efforts to obtain a national bank charter.
With a total of $173 million in fresh funding in a matter of months, M1 Finance looks to scale in the highly competitive robo-advice space. The company will increase its headcount to roughly 300 employees.
The agency charged two Cetera broker-dealers with breaching fiduciary duty and defrauding retail advisory clients in connection with the sales of mutual funds.
A drop in investment fees led to the reduction in total plan costs.
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.
The platform it's buying, HiddenLevers, allows advisers to perform portfolio- or security-level stress tests to measure sensitivity to macro-level risks.
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.
When a family member dies, the Social Security office will often ask for the last check back.
Financial advisers are being bombarded with questions about whether clients need to enroll in Medicare.
The 430-page rule updates the agency's marketing oversight for the first time since 1961 and applies to social media communications.
Ally Invest President Lule Demmissie shares her experience as a leading woman in fintech breaking down internal barriers for gender equity.
Vedder Group, a four-person team in Tallahassee, Florida, is using the services of Integrated Partners, with Fidelity as its custodian.
Take advantage of an environment that's favorable for charitable giving to engage in tax-smart, high-impact philanthropy.
CEOs and other women in the fintech C-suite are spearheading the sector's progression and paving pathways for gender equity.
Advancing women in the workplace must be a wealth management priority. Here are ways firms can create change.
