This month’s #AdviserTech roundup includes Halo Investing’s $100 million funding round, Orion’s acquisition of BasisCode Compliance and Geowealth’s $19 million funding round.
The agency's Standard of Conduct Implementation Committee found content and format problems after reviewing a cross section of filings.
Breaking out of your brand’s usual programming helps break through the attention barriers of customers and prospects.
The Onyx Advisor Network will launch in January to support advisers of color, women, LGBTQ and others who have had trouble established a foothold in the industry.
As the pandemic and possible tax law changes lead more Americans to think about their estate plans, advisers should take the opportunity to discuss estate planning and trusts with their clients.
'I really think that our financial advisers are going to be happy about this,' one Wells Fargo executive said.
A relaunch in 2020 has allowed the company to pivot to serving financial advisers, which is a more sustainable business model, according to CEO Eric Arnold.
Rohit Mahna will report to Mike Durbin and fills the spot vacated in June by Sanjiv Mirchandani, who took part in Fidelity's sweeping buyout offer.
Factors driving the expansion in fee-only advisers include clients' and prospects' interest in having an adviser who's a fiduciary and advisers' interest in having a simpler story to tell clients.
The acquisition marks the third deal for ComplySci in the fourth quarter, in the wake of a strategic investment from K1 Investment Management, a private-equity firm focused on enterprise software companies.
Lasso, a social-networking app, is hoping to land the millions of new retail investors using online investing apps with financial advisers.
The trade association said the regulator has all the tools and authority it needs through Reg BI. It's also pushing agencies to allow remote supervision permanently.
President John Carson is retiring at year-end, while Canadian head Paul Allison will become executive chairman.
After a trying 2020, large Northeastern RIAs saw growth this year rebound to 8.8%. The InvestmentNews annual review of RIAs by region includes firms with $100 million or more in assets.
A client's mental time horizon — how far into the future they think about their finances — can affect how much they save and their overall financial health.
The long-term implications of an advice industry in which much of the workforce is remote are only starting to be felt.
We can’t hit that next level if we don’t choose the right priorities, and we can’t complete them if we don’t take charge of our time.
Robbie Moseley joins the firm from Edward Jones, where he headed talent acquisition for the eastern region.
Financial planners working with clients as they confront crises like the recent supply chain disruptions need to have a holistic view of planning, increase their own emotional intelligence and improve their communications skills.
The firm is boosting its matching contributions to retirement accounts for U.S. workers and eliminating the one-year waiting period for contributions for new joiners.
