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Viewing robo-advice as an ally to human advice
Riskalyze's Aaron Klein embraces the Luddite position of not expecting technology to ever replace the human adviser.
Brokers, advisers fall short in protecting clients from identity theft
The SEC finds that some firms use generic compliance programs that aren't tailored to the particular hacking dangers their accounts face.
Ex-LPL adviser arrested in Illinois on theft charges
Bradley Goodbred now faces criminal charges of stealing money from an elderly client, in addition to civil charges from the SEC.
Millennials and Gen Xers want adviser help when inheritance hits, survey shows
Nearly eight out of 10 millennials and Gen Xers whose parents or grandparents work with a financial adviser and who expect to receive an inheritance are likely to seek professional help managing their money once they have more of it.
ACA Group acquires Advanced Regulatory Compliance
ARC, based in Beverly Hills, California, provides compliance solutions for registered investment advisory firms.
Hiring overtakes client growth for first time in Schwab study on RIA compensation
Eight in 10 RIAs planned to hire in 2022, with firms looking to fill an average of six new roles over the next five years.
CFP Board releases guidelines on cryptocurrency
The board urges advisers to approach the asset class, which has struggled in 2022, with caution.
Fidelity Institutional’s Mike Durbin transitions to new role amid larger reorganization
Durbin is going from president of Fidelity Institutional to a senior adviser role; he'll be succeeded as president by Vadim Zlotnikov.
Best Practices Awards spotlight study’s top performers
Our 2022 Best Practices consist of 11 firms — two solo practices and three firms in each ensemble category — that were the highest achievers in these metrics.
SVB names Erin Platts president of SVB Private
The bank appointed David Sabow to succeed Platts as CEO of Silicon Valley Bank UK and head of EMEA.
AAAA poised to amplify industry influence
The Association of African American Financial Advisors, the largest advocacy group for Blacks in the industry, intends to step up business-to-business alliances.
As FTX burns, advisers keep their cool
Given advisers' questioning of the practical merits of cryptocurrency, it's no wonder so many encouraged their clients to steer clear of crypto as an investment.
Advisers should brace for the relentless case for direct indexing
Despite lukewarm adoption by financial advisers, the financial services industry is committed to leveraging this crucial channel to get direct indexing in front of more investors.
Carson Group buys $200 million Massachusetts firm
Its acquisition of Waltham-based Northface Capital Holdings is part of the firm's succession plan.
Bringing ESG investing to clients is often more art than science
Experts say advisers who are introducing clients to ESG investing must start with flexibility and an open mind.
Implementing direct indexing using sector ETFs
It can be hard to keep direct-index portfolios from 'drifting' from their benchmark index as stocks are swapped in and out.
UBS retreats from plans to target US mass affluent clients
Chairman Colm Kelleher said the bank has been slow to identify cross-selling opportunities to wealth management clients.
4 keys to preparing your firm for a transaction
Even if you have no plans to sell, taking these steps will mean you're running a better business.
InvestCloud launches latest adviser-client matching service
The Find My Advisor app enters an increasingly crowded field of services hoping to connect clients and advisers.
Should you speak freely about politics and religion with your clients?
Although advisers have long avoided discussing certain subjects with clients, David Bahnsen of Bahnsen Group advocates being open with clients about such topics.
