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Blow by compliance while the competition dithers
Instead of viewing compliance as an obstacle, look at it as an opportunity to create messages that reach, influence and persuade more people than ever to pay you to build their wealth.
Stock pullback has more advisers diversifying away from asset-based fees
As account balances shrink in stride with the financial markets, RIAs are increasingly embracing flat-fee pricing.
Leading with intention, compassion creates a firm that attracts quality talent
When advisers are focused on the activities they enjoy, flexing their best skill set, they will win and be happy while doing it.
Aaron Judge baseball caught by adviser auctioned for $1.5 million
Cory Youmans, an adviser in Plano, Texas, snagged Judge’s historic 62nd home run of the season on Oct. 4.
Grace, rather than censure, advances inclusion
Grace and goodwill are the way to build bridges that include all.
Fintech challenged by market forces
While most adviser-facing fintechs were spared the pain felt across the wider technology landscape, not everyone escaped the year unscathed.
Diversity imperatives snapped into focus
Accountability for fulfilling vows of diversity and inclusion has been scarce, but a spate of new scholarship and outreach programs signaled progress.
Goldman weighs cutting up to 4,000 jobs
CEO David Solomon is battling to contain a slump in profit and revenue after a costly expansion into consumer bank resulted in deep losses.
Fintech Bytes: STP acquires WealthSite, Docupace launches productivity tool kit
Plus Stifel turns to KX to enhance analytics and decision making, and digital insurance brokerage Modern Life unveils a new platform for advisers.
Adviser coach awards $50,000 in scholarships
The grants from Stephanie Bogan will support training for diverse advisers.
At LPL Financial, advisory assets are far sweeter than brokerage
An LPL presentation on the return on various types of assets shows the age of advisory assets and fees has arrived in the broad financial advice industry.
CFP Board opposes FPA on title protection effort
CFP Chair Kamila Elliott said the current political environment would make it too difficult to obtain legal recognition of financial planning.
Finra fines Edward Jones $1.1 million over bungled phone records
The firm used two locations to store phone records, which caused a confused response to Finra document requests in investigations, according to the regulator.
Alexandra Lebenthal, third-generation Wall Streeter, invests in first-generation women business owners
Steeped in finance, Lebenthal turns her considerable influence to accelerate growth for women-led businesses.
Advisory firm valuations are dropping
Falling markets are cutting firms' revenue tied to AUM at the same time rising interest rates are making it more expensive for buyers to finance deals.
The latest in financial #AdviserTech — December 2022
This month’s highlights include Savvy Wealth’s $11 million funding round to enter the realm of tech-enabled RIAs, along with DPL Partners’ new adviser-matching solution and InvestCloud’s Advisor Connect solution.
Build capacity by pruning clients
Advisers need to create an ‘ideal client’ description, grade their clients and eliminate those who aren't the right fit.
Former broker, insurance agent arrested in California on fraud charges
Gautam Arora allegedly defrauded four victims out of $100,000 to secure investments that didn't exist.
Morningstar adds Luma annuity technology to Advisor Workstation
The new annuity functionality will help advisers using Morningstar's workstations manage annuity transactions for their clients.
Goldman plans to slash hundreds of more jobs
Chief Executive Officer David Solomon has said he’s dialing back the firm’s ambitions for consumer banking.
