United Capital Adds 2 Firms, $1.5B in Assets
The fast-growing RIA consolidator picks up retirement and wealth management groups in Maryland and Pennsylvania.
A Boon of Independence: Choosing Your Technology—Cost and Time
When considering what technology tools you should have in your practice, start with the services you offer clients, then consider the cost and time factors.
Scottish Trader's Tweets Sent Stocks Reeling: SEC
SEC charged a Scottish trader with securities fraud for sending false tweets that sent two stocks tumbling and halted trading in another.
Financial Engines to Acquire The Mutual Fund Store for $560M
Seller Warburg Pincus will retain stake in new company following cash and stock deal; expects to provide expanded planning services to Financial Engines' 401(k) clients.
What the Rise of the Robos Really Teaches Us
Lessons advisors can learn to avoid going the way of the neighborhood bookstore. To begin, it's not about the technology.
Top 6 Cybersecurity Mistakes Financial Firms Make: External IT
An External IT paper looks at how to help firms prepare for the next round of cybersecurity-related testing by the SEC.
Hearsay Social Rolls Out Compliance-Friendly Text Messaging Tool
Hearsay Social says it wants to provide "omnichannel" service for advisors.
Cybersecurity Enforcement Has Begun, Expert Warns
“Brokerage firms are a prime target of criminal cybersecurity," says FINRA enforcement official, while SEC says RIAs and BDs must have "reasonable...safeguards in place."
John Hancock Extends BD Push by Adding 1,100 Transamerica Advisors
The advisors work at about 50 firms and will become affiliated with John Hancock’s Signator Investors.
5 Predictions About the Future of Robo-Advisors: Silver Lane
Indie robos will need to spend big bucks on marketing, and on human advisors, to stay in the game, according to a new paper.