Results for "software"

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Lack of regulation on CRM note-taking can put advisers in sticky software scenarios

June 3, 2016

A recent Finra case underscores the trouble advisers can find themselves in when modifying notes on their client relationship management systems. In May, the Financial Industry Regulatory Authority fined Ameriprise representative David B. Tysk...

Morningstar acquires bond analytics firm InvestSoft Technology

June 1, 2016

Morningstar has acquired InvestSoft Technology, a fixed-income analytics software provider, it announced in a press release. The purchase was made in response to clients' requests for more fixed-income capabilities, said Frannie Besztery, head...

Don't fear the robo: Some millennials like working with human financial advisers

May 27, 2016

New research suggests that some tech-crazy millennial investors are moving beyond the robos to work closely with human financial advisers. Phoenix Marketing International calls them Active Wealth Millennials, a group with a minimum $100,000...

3 apps to help advisers stay on task while traveling

May 26, 2016

As a road warrior, I use a lot of technology. For convenience, there's nothing better than my iPhone and iPad. (I also have my laptop in case I need it.) The fact that they're lightweight, instant-starting and multifunctional make these my most-used...

Finra fines and suspends adviser for software misconduct involving 78-year-old client in variable annuity case

May 25, 2016

The Financial Industry Regulatory Authority Inc. levied a $50,000 fine against an Ameriprise general securities representative who altered his software notes to document his recommendations, for a 78-year-old client, to invest $2 million in...

T3 tech conference partners locked in legal fight over profits

May 24, 2016

Bill Winterberg, an industry financial software expert, sued Technology Tools for Today conference co-founder Joel Bruckenstein for allegedly not paying him $229,000, which Winterberg claims is his half of the profits from last fall's T3 enterprise...

Envestnet flexes its muscles with new Yodlee app innovations expected by end of year

May 19, 2016

Envestnet, the wealth management technology provider, is using Yodlee, the data aggregation and analytics company it acquired last August, to offer financial advisers new personal finance apps that crunch and display clients' assets, said Bill...

Adviser trade groups tap tech vendors as an extra perk for members

May 17, 2016

Non-profit organizations in the industry boast numerous ways advisers can build their practices, such as solid networking opportunities and extensive conferences, but members often overlook the technology perks they can get with various vendor...

3 email marketing systems that won't break the bank

May 17, 2016

Email marketing can be a great way for financial advisers to reach new prospects. In fact, a recent study conducted by MailChimp indicated that 74% of marketers expect their email to produce a positive return on investment. However, to realize...

Why Pershing is cherry-picking the robo-advisers it offers its clients

May 6, 2016

Pershing has chosen to integrate a variety of robo-advisers as opposed to building or buying one, and has started with four very different choices. Bank of New York Mellon's Pershing, a custody and clearing firm, is adding three new digital...

Pershing adds three new robo-advisers in latest push into digital advice

May 4, 2016

Pershing has picked up three new robo-adviser partners — Jemstep, SigFig and Vanare — in its latest push to offer more digital advice options to its advisers, a spokeswoman confirmed on Wednesday. Jim Crowley, chief relationship officer...

Morningstar launches new client portal to tap data aggregation capabilities

May 2, 2016

Morningstar launched a new client portal for advisers on Monday, saying the service will free up adviser time and strengthen relationships between advisers and their clients. Client information will be updated daily, and includes a stream of...

Bright side of the new DOL fiduciary rule: Tech and efficiency

April 24, 2016

Well, it's finally happening. The Labor Department's fiduciary rule has landed, and the effects of the historic final rule announced April 6 are starting to ripple through the financial advisory industry. But for all the bellyaching surrounding...

MoneyGuidePro updates new version in line with DOL fiduciary rule requirements

April 18, 2016

MoneyGuidePro, PIEtech's financial planning program for advisers, has released the fourth generation of its software, the company's attempt for its users to be right in line with the Department of Labor's fiduciary rule, which requires all advisers...

Chinese acquisition of AssetMark raises questions

April 17, 2016

The Chinese are coming! The Chinese are coming! They're coming to the U.S. investment advice market, as reported by Alessandra Malito. Huatai Securities Co., a Nanjing, China-based securities firm, has acquired AssetMark Inc., a Concord, Calif.,-based...

IBM ramping up efforts to predict investor behavior, life events

April 13, 2016

Imagine an adviser coming into the office one morning. She turns on her computer and a dashboard is ready to provide her with tasks for the day ahead. The computer tells her, based on the news and a client's recent emails, there is a significant...

China's Huatai Securities acquires tech provider AssetMark

April 11, 2016

Huatai Securities, a Chinese securities group with brokerage and investment services, has acquired AssetMark, a wealth management technology provider previously owned by Aquiline Capital Partners and Genstar Capital, it announced in a press...

In wake of DOL fiduciary rule changes, technology can solve problem of small accounts

April 8, 2016

For months, critics of the Labor Department's proposed fiduciary rule have argued that it would orphan small accounts because the cost of managing such accounts would be prohibitive. There's something that eases those pain points and softens...

Morningstar offers office software on iPad app

April 8, 2016

Morningstar offers an iPad App to supplement its Morningstar Office software. What's cool about the app is that now advisers can easily view client information and investment data anywhere any time. The Morningstar for Advisors app provides...

Charles Schwab to cut its version of Salesforce in July

March 30, 2016

Charles Schwab & Co. will no longer sell its proprietary version of Salesforce as of July 31, a Schwab spokeswoman confirmed on Wednesday. In an effort to separate components of OpenView Integrated Office — the adviser dashboard it will stop...

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