Hitting the sweet spot between taking advantage of new marketing opportunities and staying in compliance with the SEC marketing rule will be a big challenge for advisers.
An adviser who’s honest and transparent about compensation, regardless of the model, is bound to engender the trust that advice seekers want most of all.
The North American Securities Administrators Association is working on a model rule that 'mirrors' the SEC regulation.
As responsible investing continues to increase in popularity, focusing on specific E, S and G elements rather than ESG as a category may allow advisors to better serve clients.
A roundup of the rest of the week's fintech headlines, including news from Tidal Financial, FA Match and Aspida.
The integrations with Flourish Crypto and Gemini Bitria pull custodial data on cryptocurrencies into the RIA technology platform.
The use of robo-advisers fell from 27.7% of US investors in 2021 to 20.9% this year, according to research from Parameter Insights.
Collaboration between complementary professionals is a missing link for many clients, who are expected to patch advice from various professionals into a comprehensive plan.
It's important for advisers to understand how the emotions of clients can dictate whether and when they'll give you more assets to manage.
It's the second time in as many weeks that Finra has penalized a firm for such trading problems.
The deals push Savant's assets to $12.4 billion while moving it forward on its five-year growth plan.
Perry, who most recently served as the firm's chief operating officer, succeeds Doyle Williams, who is returning to parent company Protective Life.
The purchase marks Merit's 11th deal since it partnered with private equity investors in December 2020.
The San Ramon, California-based family office has a history dating back to 1979.
The firm is positioning Merrill Advisor Match as a modern solution for investors who are looking for financial advice.
Morgan Stanley will stop making the robo, Access Investing, available to new clients in December.
The nine-credit on-demand program includes seven hours of video instruction and focuses on how financial planners can build deeper relationships with clients.
The securities watchdog said she broke US rules by not disclosing she was paid for the promotion.
I-Bonds Bucket allows users to invest in the securities while bypassing the glitchy TreasuryDirect.gov website.
Florida, full of retirees looking for sunshine and low state taxes, is also densely populated with financial advisers.
