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.
The threat of higher taxes in 2022 is giving RIAs another reason to make a deal before year-end, while the lingering Covid-19 pandemic is forcing financial advisers to focus on succession planning.
Colton Etherton admits he was nervous about carving out such a unique niche, but he now knows he made the right decision.
What makes financial advisory work fun and interesting is how different the clients are, with different financial situations, needs and worries.
Many view firms' archiving and capture responsibilities as a costly and time-consuming burden, even though the possibilities provided by this treasure trove of information are massive.
While wealth management firms are spending big on updates — with 31% introducing major feature updates this year — legacy technology and the complex array of services offered by wealth apps have presented unique challenges.
WestPark Capital's information in the sale of $3.9 million worth of promissory notes was faulty, according to the regulator.
Research shows technology and customization are helping investors deal with the lack of clarity in the ESG space.
Clearview Wealth Partners is led by managing partners and co-founders Bill Roland and Jim Westermeyer. The team is aligned with The Financial Services Network, an existing LPL large enterprise.
