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Dan Wiener steps back from the $15B RIA he co-founded
A focus on Vanguard led to a long-running independent newsletter and then a successful RIA.
NYSE, Nasdaq volume discounts for brokers threatened by SEC proposal
The setup can result in larger firms offering customers better transaction prices than smaller ones, SEC Chair Gary Gensler said.
Game-time play: Know your value as a financial advisor
The planning, investing and discipline that financial advisors provide can dramatically affect a family’s choices for generations to come.
Advisors prefer independent business models, Fidelity finds
Firm launches Independence Hub to help educate those advisors making the transition to independence.
TCPA tidal wave will affect how firms engage with clients
The federal regulation governing telephone marketing also covers texting, and now many states have put in place their own versions of the regulation, with different terms and definitions.
SEC targets marketing rule, advisor compensation, complex products in 2024
'What they’re seeing is a need for increased disclosures and transparency to the investors,' a compliance expert says.
Our responsibility to improve the reputation of our profession
Financial advisors labor against an industrywide reputation that’s as poor as that of the legal profession, which means that far too many people who could use our help don't trust us.
Firms need to address consumer preferences
There's a disconnect between what what clients are looking for and what advisory firms are providing, according to a Herbers & Co. study.
The latest in financial #AdvisorTech — October 2023
This month’s highlights include Altruist’s elimination of its monthly fee, Holistiplan’s investment from Lead Edge Capital, and FMG Suite’s acquisition of MyRepChat.
Making a positive impact on your clients and your team
The co-founder of Mission Wealth shares ways to develop relationships with clients and colleagues at Advisor Insights Lab.
There’s more to the advisory business than just managing money
Bruce Ensrud of Parable Wealth talks about his firm’s growth, aspirations ahead of the Advisor Insights Lab.
Savant boosts advisors’ 401(k) management with Pontera partnership
RIA hails 'significant operation improvements' from fintech platform.
David Kowach’s &Partners starts hiring advisors
The new firm picks up advisors from Edward Jones and Wells Fargo.
Consumers with CFPs live better lives, study finds
A report from the Financial Planning Standards Board finds that clients of CFPs have enriched trust and more confidence about their finances.
Cetera to offer Avantax advisors slim bonuses to none at all
Meanwhile, Cetera's owner Genstar is reinvesting in the firm.
Parent of Sigma Financial rebrands as Axtella
The company formerly known as SPS Family also owns Parkland Securities and RIA Sigma Planning.
Hightower announces layoffs after summer of deals
The cutbacks affecting roughly 5% of its employees are aimed at ensuring the long-term success of its business, Hightower says.
Independent alpha: Making the breakaway math add up
Advisors who make the move to independence are forgoing massive recruitment bonuses. How can they justify this leap?
Go big or go boutique?
Here are questions financial advisors should consider before making a move.
Advisors increasingly rely on home office models, survey says
With more allocation tools at their disposals, advisors are focusing on planning and growing their businesses, Fuse finds.
