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New cybersecurity regulation hits New York financial firms March 1

January 17, 2017

New cybersecurity rules for some financial services providers are set to take effect March 1 for firms doing business in New York, and the new requirements may be showing up around the nation before too long. The fairly prescriptive proposed...

Watch for this new cybersecurity scam, IRS warns

January 13, 2017

The Internal Revenue Service is warning tax professionals to beware of emails ostensibly penned by prospects — and advisers should heed the same guidance. A new phishing scheme is making the rounds where cybercriminals pose as an individual...

Garrett Planning Network cuts deal on software that creates comprehensive financial plans

January 10, 2017

The Garrett Planning Network of hourly financial advisers has struck a deal with RightCapital to give its members up to a 25% discount on software to create comprehensive financial plans with clients and take a step toward meeting new Labor...

Orion launches fee analyzer for DOL fiduciary rule

December 27, 2016

Advisers looking for help proving they're charging a “reasonable” fee once the Labor Department's fiduciary rule for retirement advice kicks in next year have a new source for comparison. Orion Advisor Services is offering a fee benchmarking...

RIAs find it easy to justify spending more on technology in 2017

December 27, 2016

Technology is a necessity in the modern financial advice industry, and not staying ahead of it is essentially the same as ignoring it altogether. “There is no way we will become robo advisers, but we have to create a digital experience because...

Fidelity's eMoney to hit record revenue in 2016

December 20, 2016

Changes that eMoney Advisor made to offer cheaper, less complex planning tools for some advisers early this year helped the fintech firm that's backed by Fidelity Investments achieve record revenue growth this year. That move, along with an...

Ameriprise adviser's data breach offers cybersecurity lesson

December 20, 2016

Ameriprise Financial shut down the internet-connected backup drive its adviser was using to synchronize files from his office to his home as soon as it discovered client data was at risk earlier this month. The Minneapolis-based firm, which...

Use of artificial intelligence technology in financial services to grow: report

December 19, 2016

Financial services firms are beginning to deploy artificial intelligence technologies to make themselves more efficient and better than their peers — and those without a strategy should develop one now, according to a new report. “It is...

Tools financial technology companies plan to bring advisers in 2017

December 16, 2016

Advisers wondering what their technology providers will offer next year will be happy to know that they're focused on the same thing that most advisers emphasize — the client. Many of the tools financial technology companies plan to deliver...

Michael Durbin gets to work building out Fidelity's distribution channels to advisers

December 14, 2016

In the quietly aggressive ground game of custody and clearing services, Fidelity Investments has turned to Michael Durbin to lead its next charge. By most measures, he appears well-suited for the job as head of Fidelity Institutional Product,...

Envestnet Tamarac rolls out Yodlee app to show outside assets, liabilities

December 12, 2016

Envestnet's latest upgrade to its Tamarac platform for independent advisers will begin to incorporate the Yodlee consumer finance technology that the firm bought 16 months ago for $590 million. Its December tech update allows advisers to give...

Advisers plan to spend more for compliance and tech in 2017

November 29, 2016

Many financial advisory firms are set to spend more on compliance, technology and marketing next year. Financial advice firms are planning to increase spending next year on compliance and technology, with about 53% of advisers indicating that...

Technology at the core of reinvention

November 29, 2016

Earlier this year after many months of planning and research, our team began the process of reinventing our advice firm by drawing up a wish list of enhancements. Technology is the core component of our reinvention. We feel a robust technology...

Technology that improves client service with fewer people

November 23, 2016

Wrestling with the three-headed monster of growth, cost containment and client service considerations is a never-ending challenge. We're always trying to improve, but it's difficult to know how to find the gaps in the organization. Then the...

Galvin claims software developer defrauded investors in trading scheme

November 22, 2016

The head of the state securities department in Massachusetts charged a man and his trading software company with fraudulently taking money to trade in securities, and then failing to execute any trades. Secretary of the Commonwealth William...

New fintech tools for DOL fiduciary rule launched despite questions of a Trump delay

November 16, 2016

Fintech companies are continuing to push out tools to meet the DOL fiduciary rule, even as the surprise election of Donald Trump as America's next president has created questions about whether the rule will be amended or even killed. Three companies...

Technology guide for firms that turn to next gen clients

November 7, 2016

Along with many in the industry, our firm is increasingly open to the idea of finding innovative ways to establish profitable relationships with tomorrow's life blood of our industry — young clients. To that end, my firm BerganKDV Wealth Management,...

FolioDynamix acquires Summit Advisor Services for $6 million in wake of Aequitas collapse

November 3, 2016

The failure of alternative investment manager Aequitas Capital Partners continued to ripple through the investment community this week as FolioDynamix acquired adviser technology firm Summit Advisor Services. Dallas-based Summit Advisor Services,...

Riskalyze draws $20 million in capital for robo platform and other adviser products

October 31, 2016

Risk alignment software firm Riskalyze has attracted $20 million in its first-ever institutional capital infusion that will go towards expanding its Autopilot robo platform for advisers and other products, the company said on Monday. The equity...

Technology can help advisers ensure they are giving 'best' advice to meet DOL fiduciary rule

October 28, 2016

It has been said that necessity is the mother of invention. The financial services industry is fast approaching a key April 2017 deadline that will require advisers to act as fiduciaries when advising clients on retirement accounts, products...

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