The Tifin Group is building out its software that helps financial advisers invest in DAFs.
Firms have made plans to return employees and advisers to offices in the past but have scuttled those due to flare-ups of the pandemic.
This month’s #AdviserTech roundup includes FeeX’s rebranding and funding round, Datalign’s launch of a lead generation service and Fidelity’s new compliance solution, Saifr.
We need to understand new technologies and combat the fear of missing out on the hottest investment category, which has been cryptocurrencies.
The fine and restitution to customers stem from sales of two alternative investments, the LJM Preservation & Growth Fund and private placements issued by GPB Capital Holdings.
One important aspect of retirement planning that hasn’t changed — and is likely never to change — is the need for advisers to be forthright with their clients, especially about matters relating to longevity and income adequacy.
Nishat and his partner specialize in serving immigrants and first-generation Americans; their firm works with physicians and entrepreneurs who moved to the New York area from all over the world.
Smith, president of ELS Vision Wealth Management, focuses on helping those in the ‘first generation of success.’
The competitive landscape for turnkey asset management platforms is heating up after providers landed millions in new assets during the pandemic, when advisers were desperate for any technology that could keep them up and running.
The results from the most recent InvestmentNews survey shows sentiment is turning south.
The Vermont Department of Financial Regulation said at least 40 customers in the state complained.
Some of the biggest brands in wealth management are trying to figure out what normal looks like, and how and whether it makes sense to bring employees back to the office.
Pontera, formerly known as FeeX, allows advisers to work with client accounts that are held away from the firm, like 401(k)s.
The feature appeared in a beta version of its iPhone app. Code describing the service — dubbed Stock Loan Income Program, or SLIP — was discovered by developer Steve Moser.
The Securities and Exchange Commission chairman raised questions about the effect that behavioral prompts — like encouraging clients to trade more often or using algorithms to steer them into high-risk, high-fee products — might have on investing outcomes.
James Iannazzo, 48, was arrested in January, faces three charges and is seeking probation.
Finra didn't provide details about the rules, which will be made public when they're submitted to the Securities and Exchange Commission.
Global Shares, which will be integrated into the bank's asset and wealth management arm, has almost $200 billion in assets under administration and roughly 600 corporate clients.
The digital alternative investment provider Yieldstreet launched a new art equity fund with exposure to contemporary international artists like Banksy and Takashi Murakami.
John Alexander is the second senior manager with two decades at the firm to leave Wells Fargo Advisors in recent months.
