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ThinkAdvisor's TechCenter is an educational resource designed to keep advisors acquainted with new tech innovations to gain a competitive edge.
Brian McLaughlin | February 18, 2021
The technology you already have may have features you could be using to help remote workers stay connected.
Melanie Waddell | January 04, 2021
The "federal acquiescence to (if not outright approval of) digital assets will continue," predicts Ric Edelman.
Eric Poirier | October 28, 2020
Experience gained since the downturn spurred new tools and technology to help advisors better serve clients.
Bernice Napach | September 18, 2020
Its retail services can help solidify relationships with clients, making them more likely to stick around when their assets grow.
| News
Janet Levaux | September 04, 2020
The bank's push into digital advice comes about nine months after it restructured its wealth management operations.
Vildana Hajric and Lu Wang | August 10, 2020
Index’s price-earnings ratio tops 36 for first time since 2004, with technology at the core of enabling a touchless world.
Mark Horne | July 20, 2020
Your clients' information is precious. Fraudsters know that.
Jason Ware | June 10, 2020
Investors and their advisors need to be extremely thorough in the current environment. Technology can help.
| News
Bernice Napach | May 27, 2020
The enhancements are especially useful in today’s remote working environment.
| News
Michael S. Fischer | April 09, 2020
Client of human and robo-advisors are receiving different emotional payoffs, the researchers found.
Janet Levaux | March 17, 2020
"We want to do all we can to minimize the impact of the coronavirus epidemic for advisors and their clients,” said Tom Nally, its RIA chief.
Jarrod Upton | February 19, 2020
To succeed in the future, advisors won’t need to compete with AI; they’ll collaborate with it to enhance their client relationships.
| News
Bernice Napach | February 18, 2020
The enhancements focus on self-service functionality that allow wealth management firms to customize their use of technology.
Bernice Napach | February 07, 2020
Robos are becoming better positioned to hook clients earlier in their financial lives, researcher David Goldstone says.
| Q&A
Jane Wollman Rusoff | February 03, 2020
It will happen sooner than you think, creating new financial and retirement needs, Peter Diamandis tells ThinkAdvisor.
Jeff Berman | December 27, 2019
The advisor conducted unapproved business in Bitcoin, then refused to cooperate with an investigation, FINRA said.
Ginger Szala | December 24, 2019
Sustainable investing will undergo some standardization next year, but expect regulator involvement.
| News
Jeff Berman | December 11, 2019
For one thing, advisors are no longer afraid of the cloud, Fred Duden told ThinkAdvisor.
Eric Jansen | December 09, 2019
Accredited investors have access to a broad array of blockchain-focused vehicles, and some have nothing to do with cryptocurrency.
| News
Timothy Welsh | November 25, 2019
Advisors will find new goodies on their platforms as IBDs and national RIAs look to expand their offerings.
| News
Michael S. Fischer | October 08, 2019
In a survey, most firms said they were considering a centralized data hub, though none had one currently.
Jeff Berman | October 02, 2019
The Kickoff block will help high-school aged children of clients prepare to pay for higher education.
| News
Bernice Napach | September 16, 2019
But advisors should consider the risks before selling an equity stake, a strategic capital provider says.
| News
Jeff Berman | August 20, 2019
The upgrades could save advisors an hour a day, CEO Dan Arnold said.
Bernice Napach | August 15, 2019
The firm has invested in robo-advisor startup Newday Financial Technologies.
| News
Jeff Berman | August 07, 2019
But many high-net-worth investors remain concerned about cybersecurity.
| News
Melanie Waddell | August 07, 2019
NASAA's Operation Cryptosweep remains in full swing, with Texas issuing a cease and desist order on Tuesday.
| News
Jeff Berman | July 23, 2019
The "blocks" cover a range of planning topics and have names like Financial Bliss and Kickoff.
| News
Bernice Napach | June 25, 2019
The Fiduciary Distribution Review provides financial advice on retirement plan distributions for departing employees.
| News
Blake French | June 12, 2019
The eQuipt FP offering enables advisors to provide services on a one-time or ongoing basis.
| News
Bernice Napach | June 11, 2019
Personal Capital Cash accounts yield 2.30% for non-clients and 2.35% for firm clients.
Janet Levaux | June 03, 2019
Merrill Guided Investing will now offer access to advisors.
| News
Ginger Szala | May 16, 2019
The network of independent broker-dealers aims to help advisors and clients with 1099-related processes.
| News
Michael S. Fischer | May 14, 2019
Platform gives advisors way to discreetly search for a new job; the partners include Redtail and Orion.
Janet Levaux | May 03, 2019
Industry executives and consultants says the latest tools are about gamification — getting the client engaged in financial planning.
| News
Bernice Napach | May 02, 2019
The Elite Advisor Poll found that firms are investing more in technology but primarily for more practical matters.
| News
Ginger Szala | May 01, 2019
CEO Jud Bergman describes the qualities that make advisors "transformative leaders," opening the platform's two-day event.
| News
Timothy Welsh | April 30, 2019
AdvicePay founders Michael Kitces and Alan Moore did not disappoint for drama at the recent ScratchWorks event.
James J. Green | April 30, 2019
E|Financial Alliance blends deep insights into clients’ personalities to deliver what they really need.
Julie Verhage | April 29, 2019
The brokerage giant will offer Bitcoin and Ethereum trades; service will compete with startups like Coinbase and Robinhood.
Janet Levaux | April 23, 2019
Through a long-distance program, Rick DiStefano is working with Veronika Thruston to increase business and eliminate headaches.
Emily Zulz | April 15, 2019
Also, First Ascent Asset Management launched factor-based portfolios to be offered for a low, flat annual fee.
Bernice Napach | April 11, 2019
The Dimensional Fund Advisors offerings will be the first mutual funds on the Betterment platform.
| News
Bernice Napach | April 08, 2019
Ninety-eight percent use social networks for business and/or personal purposes, including 83% that use them for business purposes, according to a Putnam Investments survey.
| Analysis
Roy Urrico | April 08, 2019
Organizations take clear steps to assuage remote work hazards, but appear to fall short in the execution.
Emily Zulz | April 08, 2019
Also, Betterment removed the minimum account balance for retail clients to use its Flexible Portfolio.
| News
Emily Zulz | April 02, 2019
The redesign improved the design and navigation of the prior platform and added more resources.
| News
Janet Levaux | March 18, 2019
A survey by Michael Kitces breaks down the advisor work week and uncovers some interesting results.
| News
Janet Levaux | March 07, 2019
Last year's winners were InvestmentPOD, an automated investing platform, and Snappy Kraken, a marketing platform.
| News
James J. Green | March 07, 2019
Leaders worry far more about disruptive effects of compliance, cybersecurity, Vuealta survey finds.
Ginger Szala | March 06, 2019
The startup, called Coin, offers online investing in eight impact areas with an account minimum of $50.
Emily Zulz | March 04, 2019
Also, United Capital added SpiderRock And iCapital Network strategies to its investment platform.
| News
Janet Levaux | February 26, 2019
After Envestnet's move to buy PortfolioCenter from Schwab, the battle for clients of RIA portfolio-accounting tools is on.
Dan Skiles | February 26, 2019
How your firm is structured certainly impacts what technology solutions are selected and rolled out.
Ginger Szala | February 26, 2019
Machine-learning model is the next evolution for cybersecurity, according to an Aite report by team member and cybersecurity vet Alissa Knight.
| News
Ginger Szala | February 21, 2019
Advisors will avoid multiple inputs with new technology that uses bi-directional data synced continuously through the system.
| News
James J. Green | February 13, 2019
At LINC conference, the custodian enhances advisor, end-client platforms while funding new third-party tech.
Bernice Napach | February 11, 2019
Technology will eliminate or transform these industries by 2035 or sooner, Edelman says.
James J. Green | February 07, 2019
Platform launched by Goldman now includes multiple issuers; will expand to annuities in Q2.
Timothy Welsh | February 06, 2019
From new cloud-based ventures to the latest software for estate planning and retirement tools, the conference highlighted best-in-class digital strategies.
| News
Bernice Napach | February 05, 2019
This is the firm's sixth round of founding and its fourth from Canadian-based IGM Financial.
| News
Ginger Szala | February 05, 2019
Investment advisors and wealth managers must prepare for the future, because it is here.
Doug Alexander | February 05, 2019
Without digital keys, clients lose access to coins, funds; board said last week that it was seeking creditor protection.
Dan Skiles | January 31, 2019
Cyber threats from employees can be reduced or rectified by taking these pro-active steps.
Janet Levaux | January 31, 2019
The industry kicks off the year with a major merger and acquisition announcement.
| Profile
Janet Levaux | January 31, 2019
Investment Advisor proudly presents its inaugural list of the most influential female financial professionals in the field of technology.
Thomas D. Giachetti | January 31, 2019
Compliance for advisors doesn’t only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
Kevin O’Neill | January 31, 2019
Bringing on new clients can be a headache. Digitization is necessary to help clients and advisors.
| News
Ginger Szala | January 30, 2019
Cybersecurity is a top concern of RIAs, and cleverDome's cooperative method is helping them get protection.
| News
James J. Green | January 30, 2019
An upgrade by Laserfiche, a document and content management software firm, features a robotic process automation tool.
| Q&A
Ginger Szala | Janet Levaux | January 24, 2019
Comprehensive reviews, for instance, include five different steps: identify, detect, protect, respond and recover, according to Entreda's CEO.
| News
Janet Levaux | January 22, 2019
The funds raised via crowdfunding will help AdvicePay launch an enterprise version of its technology, which can be used by investor clients to pay advisors directly from checking accounts and by credit card.
| Analysis
Bernice Napach | January 22, 2019
How experts from the securities industry and its regulators view AI, blockchain and other new technologies
Jenny Surane and Ben Foldy | January 16, 2019
The deal, one of the biggest financial mergers in a decade, will create the world’s largest payment processor amid a wave of consolidation in that industry, which faces threats from startups like Square.
Andrew Brzezinski | January 16, 2019
AI can help advisors work smarter and provide more value to clients, but it isn’t the answer to every problem.
Angela Pecoraro | January 02, 2019
Going forward, advisors will use technology to become be more like financial life coaches than ever before.
| News
Ginger Szala | December 26, 2018
New survey shows sharp differences between older and younger advisors on how technology can help them expand their businesses.
Angie Herbers | December 21, 2018
We need to overcome the current trend of using AI as a tool for clients, and instead, develop it more for advisors.
Dan Skiles | December 21, 2018
Each and every part of a business plan today should include technology; here's how to make tech plans work in the year ahead.
Janet Levaux | December 21, 2018
The regulator charged Wealthfront with making false statements and misleading ads and faulted Hedgeable's performance comparisons.
| News
Janet Levaux | December 21, 2018
The group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
| News
Janet Levaux | December 13, 2018
One research firm says the price tag for cybercrime could hit $6 trillion by 2021; New York's Global Cyber Center picks up steam.
| News
Janet Levaux | December 06, 2018
The technology allows for goals-based financial planning and specialized portfolio building.
| News
James J. Green | December 05, 2018
At TDAI LINC, Innovation Quest will recognize, and help fund, apps that can "transform" RIAs’ practices.
| News
Janet Levaux | December 03, 2018
The firm wants to help its advisors “turn prospects into clients,” CIO Burt White tells ThinkAdvisor.
| News
Emily Zulz | November 30, 2018
A new Fiserv white paper examines the role data-driven robotic process automation can play in the wealth management field.
| News
James J. Green | November 30, 2018
Fintech firm using recent $28M funding to eventually build 300,000-advisor database.
| News
James J. Green | November 29, 2018
Andrea McGrew sees big increase in hacking and phising of advisor-clients; suggests common-sense precautions.
Dan Skiles | November 28, 2018
Getting ready for the holidays is the easy part of advisors' year-end duties. For the tough tasks, here’s a "must-do" checklist to help advisors tackle business processes and client needs in late 2018.
| News
Timothy Welsh | November 28, 2018
The technology conference showcased innovation focused on cybersecurity, AI and more from the biggest and brightest names in the business.
Janet Levaux | November 28, 2018
In Austin, the independent broker-dealer draws nearly 1,200 affiliated advisors to its yearly educational conference.
Thomas D. Giachetti | November 28, 2018
Advisors often don’t realize that best execution requirements have many facets, all of which are worth a careful review.
Melanie Waddell | November 26, 2018
The SEC can also “do a better job at explaining how and why we make decisions and what those decisions mean" to investors, Peirce said.
| News
James J. Green | November 20, 2018
Scott MacKillop says unique approach to portfolio management makes it “fastest growing TAMP from scratch.”
Bernice Napach | November 16, 2018
Strategists at a recent BlackRock-sponsored roundtable offer their views on technology stocks, many no longer classified as such.
| News
Janet Levaux | November 15, 2018
Advisors can show client goals in new ways that run "the full gamut of planning from simple to advanced,” according to one executive.
Bernice Napach | November 13, 2018
The WealthBuilder platform helps advisors streamline and scale their businesses while helping clients plan, track and meet goals.
| News
Bernice Napach | November 13, 2018
The second largest retirement recordkeeper in the U.S. is working with Apex and Wealthsimple to develop the platform.
Nick Richtsmeier | November 09, 2018
There's no doubt the investment business is changing. The question is how do advisors take action to adapt?
| News
James J. Green | November 09, 2018
Hartford’s John Diehl on how advisors can help clients live better longer lives.
Jeff Berman | February 11, 2021
Also, Hearsay expands video support and Transamerica adds remote online notarization.
Angela Pecoraro | January 28, 2021
There are tools that can help advisors adapt and meet the increased demand for their services in the COVID-19 era.
| News
Jeff Berman | January 28, 2021
Also, the Redtail CRM has integrated MaxMyInterest cash management software.
| News
Jeff Berman | January 28, 2021
Advisors can now use client reviews in their marketing, but they should use caution, lawyers say.
Jeff Berman | January 20, 2021
Ed Fandrey will be based in San Diego and report to President & CEO Dan Arnold.
| News
Jeff Berman | January 15, 2021
The executive steps down as Carson’s chief marketing officer after two years to co-found Milemarker in South Carolina.
Jane Wollman Rusoff | January 07, 2021
Small firms need "more than a call center," Manish Khatta, the quant behind Potomac's Union platform, tells ThinkAdvisor.
Melanie Waddell | January 04, 2021
The "federal acquiescence to (if not outright approval of) digital assets will continue," predicts Ric Edelman.
| News
Jeff Berman | December 17, 2020
Also, Broadridge appoints a chairman for its LTX trading platform.
| News
Melanie Waddell | December 16, 2020
Also tabled were considerations to adopt amendments to Form ADV to provide more information about advisors’ marketing practices.
Angela Pecoraro | December 16, 2020
No doubt, 2020 was an unusual year, which makes client reviews all the more important to prepare for 2021.
| News
Melanie Waddell | December 14, 2020
“You’ve got major players engaged here” in the custody of digital assets, Edelman said. “Fidelity, first and foremost.”
| News
Jeff Berman | December 10, 2020
Also, Advyzon adds a prospect portal and mobile app to its digital tool chest.
Jeff Berman | December 03, 2020
Also, Orion recruited an ex-Ascensus exec to further its expansion into the 529 plan sector.
Jeff Berman | December 01, 2020
"We want to ... help [advisors] focus ... on making great decisions so they can let advanced technology put those decisions into place,” says CEO Aaron Klein.
| News
Jeff Berman | November 25, 2020
Also, FSP teams with Chalice Network to create FinTech Institute, and Wells Fargo invests in a donor-advised fund program.
| News
Michael S. Fischer | November 24, 2020
A third of both advised and DIY investors have used wealth management firms’ mobile app more frequently during the pandemic.
Jeff Berman | November 24, 2020
Funds will help the digital-advice platform for women expand its business, say CEO Sallie Krawcheck and other executives.
| News
Jeff Berman | November 20, 2020
Commonwealth Connect and Brand Studio are two areas of focus for the firm in 2021 and beyond.
| News
Melanie Waddell | November 19, 2020
The amendments include requiring electronic filing and service of documents in administrative proceedings.
| News
Michael S. Fischer | November 19, 2020
The pandemic has shifted advisor searches from word of mouth to search engines.
Bryce Sanders | November 18, 2020
You don’t know why prospects pull back, but these actions help you position yourself for future business.
Gerry Herbison | November 10, 2020
COVID-19 brought in-person client education to a halt. But in some ways, that's not a bad thing.
Bryce Sanders | November 05, 2020
You can modernize your prospecting pipeline in the time you once would have spent commuting.
| News
Michael S. Fischer | November 03, 2020
Sponsors and advisors agree customer service, user-friendly experience and cost are critical in selecting a plan provider.
| News
Melanie Waddell | October 13, 2020
The RIA Digital Assets Council has acquired JV Events Group and plans to hold a virtual conference in March.
Jeff Berman | October 08, 2020
Also, Advisor Group enhances its MyCMO marketing platform and JPMorgan teams with 55ip.
| News
Melanie Waddell | October 07, 2020
The firm was fined $100,000 for failing to retain business-related messages.
Ginger Szala | September 04, 2020
Several major trading platforms experienced outages and other problems on the day of the stock splits.
| Q&A
Janet Levaux | Ginger Szala | August 26, 2020
Leaders of four broker-dealers explain what continuity, technology and other steps prepared their firms for remote work.
| News
Jeff Berman | August 18, 2020
The new messaging system will make it easier for advisory team members to communicate wherever they are, LPL says.
| News
Janet Levaux | August 14, 2020
Program partners include Riskalyze, YCharts and Redtail.
| News
Jeff Berman | August 13, 2020
Also, SS&C expanded Black Diamond integrations with Schwab.
Jeff Berman | July 30, 2020
The CEO of marketing tech firm Snappy Kraken presents some ideas.
| News
Michael S. Fischer | July 28, 2020
Most clients who say communications with their advisors have changed want to keep those changes when the pandemic ends, Broadridge reports.
Rachel Schnoll | July 17, 2020
A few minor changes can dramatically improve the way you appear to clients and colleagues.
Bernice Napach | July 17, 2020
They are better prepared than their European and Asian counterparts for remote working, Aite says.
Jeff Berman | July 16, 2020
Also, E-Trade launched a developer platform that will allow corporate clients to streamline services.
Jeff Berman | July 10, 2020
Also, Twenty Over Ten updated its Lead Pilot tool to help advisory businesses improve their inbound marketing efforts.
| News
Jeff Berman | July 07, 2020
BDs and other financial services firms are accelerating their digital transformations, a new Broadridge study finds.
Jeff Berman | July 06, 2020
Don't be afraid to contact clients with good news and bad, Cathy Clauson of AssetMark tells ThinkAdvisor.
| News
Jeff Berman | June 02, 2020
Also, AI-driven Envestnet Connect is unveiled, and TD Ameritrade introduces Thinkorswim Web.
| News
Michael S. Fischer | May 29, 2020
Workflows that require manual intervention can be difficult when demand is high and everyone's working remotely, according to Envestnet.
Angela Pecoraro | May 27, 2020
Advisors can use technology to help clients map out how to cover health care costs today, in the near future and during retirement.
Jeff Berman | May 14, 2020
When it comes to podcasts and flash briefings, clients want “brevity, levity and familiarity,” TD Ameritrade's Dani Fava says.
Jeff Berman | May 07, 2020
COVID-19 is “making the future get here faster than anyone expected,” he says.
Brooke Worden | May 04, 2020
Advisory firms can learn some big lessons from the COVID-19 crisis to get their marketing efforts ready for what comes next.
| News
Jeff Berman | April 28, 2020
The tool is intended to simplify the entire video creation and promotion process, CEO Robert Sofia says.
Jeff Berman | April 27, 2020
Also, BlackRock’s iShares launches three Factor Style ETFs.
| News
Jeff Berman | April 23, 2020
“The key is to embrace the change,” a senior manager at TD Ameritrade says.
| News
Jeff Berman | April 22, 2020
The wealth firm built the new offering in partnership with marketing tech firm Snappy Kraken.
Andina Anderson | April 14, 2020
Here's how to drive client interest on both sides of the gap.
| News
Jeff Berman | April 08, 2020
Advisors who embrace the changes brought on by social distancing will be well-positioned for the future, fintech execs say.
| News
Jeff Berman | April 01, 2020
For one thing, don’t stop searching for new clients, execs from two fintech firms say.
| News
Jeff Berman | March 31, 2020
The fintech firm also launched a new “Business as Usual” program and investment model marketplace.
Janet Levaux | March 30, 2020
Crager has been the firm's interim leader since October, when CEO Jud Bergman was killed in a car accident.
| News
Jeff Berman | March 30, 2020
“In these times, you can not over-communicate” with clients or staff, says RIA in a Box President GJ King.
| News
Timothy Welsh | March 30, 2020
Plus, conference host Joel Bruckenstein shares results of advisor survey on software and other technology tools.
| Analysis
Janet Levaux | March 30, 2020
Here are some details about his and Jeff Levine's big move to Buckingham Wealth Partners.
| News
Janet Levaux | March 26, 2020
Invest in Others, a charitable organization, will give awards of $10,000 to $50,000 to community-focused advisors.
Janet Levaux | March 24, 2020
Your input on the 25 industry leaders you're turning to for insights and inspiration is needed by April 6.
Timothy Welsh | March 03, 2020
Plus, conference host Joel Bruckenstein shares results of an advisor survey on software and other technology tools.
| News
Jeff Berman | February 20, 2020
The private equity firm has bought a majority stake in Fiserv's Investment Services unit and renamed it Tegra118.
| News
Jeff Berman | February 19, 2020
The independent broker-dealer explains how a new integration has improved its ClientWorks advisor platform.
| News
Melanie Waddell | January 29, 2020
Riskalyze has enhanced its Select and Elite products.
| News
Jeff Berman | January 29, 2020
New security features are also popular, Schwab says.
| News
Melanie Waddell | January 17, 2020
Sens. Ron Wyden and Sherrod Brown say Envestnet may have broken the law by “recklessly selling” personal data.
Janet Levaux | January 17, 2020
"Everyone asks what's next" after the Schwab-TD Ameritrade deal, Orion CEO Eric Clarke tells ThinkAdvisor.
| News
Melanie Waddell | January 16, 2020
Austin Gerig will help the agency use data analytics to support enforcement and exams, as well as to protect investor data.
Gregor Stuart Hunter and Eric Lam | December 31, 2019
Though U.S. stocks and global equity benchmarks attracted much attention, there were other notable moves worldwide.
Tricia Haskins | December 10, 2019
You may have lots of cool tech, but here's how to use it to get tangible results.
Clint Sorenson | December 06, 2019
The most efficient way to get up to speed on technology as a new RIA is to hire a consultant.
| News
Timothy Welsh | November 25, 2019
Advisors will find new goodies on their platforms as IBDs and national RIAs look to expand their offerings.
| News
Melanie Waddell | November 15, 2019
Hearsay Compliance Advisory Services aims to help financial services firms comply with rules like Reg BI and FINRA's new advertising rule.
Jud Mackrill | November 15, 2019
Done right, a webinar can provide value for your audience while teaching you a lot about them.
| News
Melanie Waddell | November 07, 2019
BD and wirehouse reps use social media more frequently and see it as a more valuable business-building tool than do RIAs, American Century found.
| News
Melanie Waddell | November 07, 2019
SEC updates will help advisors promote themselves “through channels and mediums that people actually use," Shih told ThinkAdvisor.
| News
Melanie Waddell | November 04, 2019
The plan would allow for testimonials, endorsements and third-party ratings in some marketing materials.
Janet Levaux | October 17, 2019
The move suggests other shifts by the brokerage firm as it seeks to add younger investors to its client base, one industry watcher says.
| News
Melanie Waddell | October 16, 2019
Some reps have also been conducting “electronic sales seminars” on digital channels that were not permitted by their firms, FINRA said.
| News
Jeff Berman | October 14, 2019
Enhanced Manager Gateway is successor to company’s Manager Workstation, adding a new user interface.
Kerry McDermott | October 10, 2019
Keep your messages focused and your clients will absorb them more easily. Technology can help.
Jeff Berman | October 07, 2019
Also, Schwab to launch 3 new fixed income ETFs.
Jeff Berman | October 01, 2019
BlueRush, Envestnet Yodlee and Orion were among standout exhibitors at FinovateFall.
Jeff Berman | September 30, 2019
Also, Fidelity unveils a new approach to ESG investing for advisors.
| News
Janet Levaux | September 24, 2019
Wealth/Stack event highlighted forward-thinking ideas and industry VIPs.
Jeff Berman | September 23, 2019
Also, John Hancock Retirement signed a deal to offer Morningstar's advisor managed account services to RIA firms.
Jeff Berman | September 16, 2019
These trends pose major investment risks but also could provide opportunities, according to a new report.
| News
Jeff Berman | September 13, 2019
AI and other technologies can help advisors better serve clients and grow revenue, Fidelity says.
| News
Janet Levaux | September 04, 2019
“RIAs don’t need to pick up a device, stand in one place or use a keyboard,” Dani Fava of TD Ameritrade Institutional says.
| News
Jeff Berman | September 03, 2019
The fintech accelerator’s previous winners and semi-finalists include Snappy Kraken, 280 CapMarkets and AdvicePay.
Jeff Berman | August 30, 2019
280 CapMarkets reports its fixed income platform growth doubled in past year not only due to new bells and whistles, but also advisor need for bond market products.
| News
Marlene Satter | August 27, 2019
Michael Kitces, cofounder of XYPN and Bill Winterberg of FPPad will be part of panel reviewing the six finalists' offerings at the September conference.
| Analysis
Jeff Berman | August 13, 2019
Long-term prospects for company are still seen as strong despite the looming court battle.
Jeff Berman | August 13, 2019
The advisor-focused marketing technology company gets $3.5 million in a seed round investment.
Dan Skiles | July 29, 2019
Been away for summer and have to get back into gear? Here are ideas for when “class” resumes.
| News
Jeff Berman | July 26, 2019
Clients of all ages are increasingly embracing the company’s digital platforms, it says.
| News
Melanie Waddell | July 22, 2019
“Weaknesses like these place IRS’ systems and data at risk,” GAO said.
| News
Janet Levaux | July 08, 2019
Ashish Braganza is the BD's executive vice president of Data, Analytics and Innovation and reports to Burt White.
| News
Ginger Szala | June 27, 2019
The resulting reports will include details on clients' investments, regardless of where the assets are held.
Jeff Berman | February 04, 2021
Also, Broadridge introduces ESG Advisory Services.
| News
Jeff Berman | November 10, 2020
The combined company will also help advisors and their firms uncover strategic insights from large volumes of data in real time.
| News
Jeff Berman | October 16, 2020
More tech adoption can provide greater efficiency and improve productivity, Cerulli says.
| News
Melanie Waddell | July 21, 2020
Business continuity planning related to COVID-19 has replaced cybersecurity as the top worry for compliance officers.
Bernice Napach | July 16, 2020
Several lawmakers aren't satisfied with the platform's response to a customer's suicide.
Angela Pecoraro | June 30, 2020
Now is a good time for BDs to reevaluate their legacy technology systems.
| News
Jeff Berman | June 16, 2020
Also, SEC’s FinHub launches virtual peer-to-peer meetups.
Jason Ware | June 10, 2020
Investors and their advisors need to be extremely thorough in the current environment. Technology can help.
| News
Melanie Waddell | May 27, 2020
FINRA reduces mediation fees and enhances action against new wave of scams.
| News
Jeff Berman | March 25, 2020
The software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
David Hsu | January 08, 2020
Ensuring best execution is no longer as simple as making a few phone calls.
| News
Timothy Welsh | November 25, 2019
Advisors will find new goodies on their platforms as IBDs and national RIAs look to expand their offerings.
Dan Skiles | October 29, 2019
Don’t assume you know how clients use, or even like, your technology. Instead, ask them and adapt.
| News
Jeff Berman | September 26, 2019
Advisors and other financial organizations face implementation, regulatory and other challenges when using AI, experts say at SIFMA Fintech Conference.
| News
Janet Levaux | September 24, 2019
Wealth/Stack event highlighted forward-thinking ideas and industry VIPs.
| News
Janet Levaux | August 01, 2019
The membership-based group says it is responding to advisors' requests for compliance and legal support.
Dan Skiles | July 29, 2019
Been away for summer and have to get back into gear? Here are ideas for when “class” resumes.
Olga Kharif | June 11, 2019
The multi-government Financial Action Task Force is preparing to release guidance that clarifies how participating nations should oversee digital assets.
| News
Dan Skiles | May 28, 2019
Top tech gurus discuss what advisors need to do infrastructure-wise to stay ahead.
Benjamin Purvis and Alexandra Harris | April 26, 2019
It's a matter of when, not if, rate becomes ‘unusable," says Morgan Stanley's Tom Wipf.
| Analysis
Melanie Waddell | March 26, 2019
As new BD regulations get aired out, two points emerge: Reg BI is “fixable” and states need to see how it works before making own laws.
Bernice Napach | March 22, 2019
Bitwise Asset Management, which has filed for a Bitcoin ETF, analyzed data from 81 crypto exchanges.
| News
Ginger Szala | February 28, 2019
A GlobalData study looks at how cybercrime has grown as a result of the digitization of the business, and how advisors are responding.
Dan Skiles | February 26, 2019
How your firm is structured certainly impacts what technology solutions are selected and rolled out.
| Analysis
Melanie Waddell | February 26, 2019
Attorneys and compliance experts see the SEC and FINRA crackdowns as a ‘big deal’ that foretells the demise of 12b-1 fees.
Ginger Szala | February 26, 2019
Machine-learning model is the next evolution for cybersecurity, according to an Aite report by team member and cybersecurity vet Alissa Knight.
| News
Ginger Szala | February 14, 2019
Aon’s newly released 2019 Cyber Security Risk Report cites eight digitization cyber risks firms face and actions they need to take.
| News
Emily Zulz | February 01, 2019
FINRA is in the early stages of using these technologies for surveillance; most firms haven’t started.
Dan Skiles | January 31, 2019
Cyber threats from employees can be reduced or rectified by taking these pro-active steps.
| Profile
Janet Levaux | January 31, 2019
Investment Advisor proudly presents its inaugural list of the most influential female financial professionals in the field of technology.
Thomas D. Giachetti | January 31, 2019
Compliance for advisors doesn’t only mean SEC issues. Indeed, several internal factors can trip up advisors, especially with personnel.
| Analysis
Melanie Waddell | January 31, 2019
All eyes will be on the Democrat-controlled House committees that influence policies affecting advisors and broker-dealers.
Kevin O’Neill | January 31, 2019
Bringing on new clients can be a headache. Digitization is necessary to help clients and advisors.
| Analysis
Bernice Napach | January 22, 2019
How experts from the securities industry and its regulators view AI, blockchain and other new technologies
Bernice Napach | January 10, 2019
The firm says the filing addresses the agency's key concerns about custody and Bitcoin prices.
Dan Skiles | December 21, 2018
Each and every part of a business plan today should include technology; here's how to make tech plans work in the year ahead.
| News
Janet Levaux | December 21, 2018
The group highlights five areas of focus, such as how to limit phishing attacks and how to implement controls on mobile devices.
Dan Skiles | November 28, 2018
Getting ready for the holidays is the easy part of advisors' year-end duties. For the tough tasks, here’s a "must-do" checklist to help advisors tackle business processes and client needs in late 2018.
Melanie Waddell | November 28, 2018
Both regulators are expected to finalize rules for conduct standards by September 2019.
Thomas D. Giachetti | November 28, 2018
Advisors often don’t realize that best execution requirements have many facets, all of which are worth a careful review.
Ben Bain | October 26, 2018
First discussion from SEC roundtable brings fireworks from both sides.
Dan Skiles | October 25, 2018
If you are frustrated with your technology provider, here’s how to work out the separation agreement.
| News
Ginger Szala | October 19, 2018
The SEC made an example of nine firms that lost a total of $100 million to email fraudsters.
| News
Ginger Szala | October 18, 2018
The new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
Dan Skiles | September 27, 2018
This month brings forth the importance of cybersecurity; here are three ways fraudsters have successfully stolen money.
| News
Ginger Szala | September 14, 2018
RightSize Solutions offers a new centrally managed platform to meet regulatory needs and protect data.
| News
Melanie Waddell | September 10, 2018
A new buzzword — suptech, or supervisory technology — is also coming into play.
Dan Skiles | August 28, 2018
Industry conferences are a great place to scope out technology demos as well as get updates on your current system.
Bernice Napach | August 14, 2018
The agency also issued a Investor Alert to encourage investors to check the background of anyone selling them an investment.
Eric Lam | August 09, 2018
Digital assets have lost about $600 billion since January peak; SEC's postponed decision on Bitcoin-backed ETF inspired the latest downturn.
Dan Skiles | July 30, 2018
Advisors are in the business of measurement, so they also should ask users to grade how well firm technology systems perform.
Melanie Waddell | June 25, 2018
U.S. regulators “have increased engagement with financial innovators in recent years, and it’s a good time to consider taking the next step," Jonah Crane says.
Janet Levaux | Liana Roberts | May 29, 2018
From compliance issues to mobile apps, broker-dealers executives have a lot on their hands. Here's how they feel about these challenges
Thomas D. Giachetti | May 29, 2018
The Fifth Circuit decision sounds like a resounding victory for the rule's opponents, but some uncertainty remains.
Dan Skiles | May 29, 2018
Now is a good time to review your technology infrastructure
| News
Janet Levaux | May 24, 2018
Consultant Tim Welsh and popular blogger Michael Kitces say this is a "big deal."
James J. Green | May 16, 2018
Startup finds success among advisors with its bond trading platform while helping advisors meet MSRB requirements.
Nick Baker | May 02, 2018
The unprecedented move was in response to requests by the NYSE, Nasdaq and Cboe Global Markets to raise data fees.
Dan Skiles | April 29, 2018
2018 FINRA and SEC exam priorities can serve as a refresher for your technology practices.
Camila Russo | April 24, 2018
Gary Gensler says some of the biggest cryptocurrencies could probably be classified as securities subject to regulation.
James J. Green | March 22, 2018
Proactive tools include mock audits, SEC exam data retrieval; anti-money laundering screens.
Anthony Stich | December 28, 2017
What innovations and emerging competitors will we witness in the coming year?
Michael S. Fischer | November 15, 2017
Four in five managers foresee major change to their operating models within two years, the data platform Confluence reports.
Danielle Andrus | September 07, 2017
RiXtrema has made updates to help advisors and broker-dealers monitor retirement plans for compliance with the Supreme Courts Tibble v. Edison decision.
Danielle Andrus | September 05, 2017
RIA in a Box announced Tuesday that it has released new employee trade monitoring software as part of its MyRIACompliance tool.
Danielle Andrus | June 16, 2017
AI is whatever five years from now well think is normal, according to Brian Clark of Ascent.
Danielle Andrus | June 14, 2017
IBM has launched a suite of regtech products powered by Watson, IBMs artificial intelligence platform, to help financial services firms manage their growing compliance responsibilities.
Danielle Andrus | April 07, 2017
AdvisorStream, and SS&C also announced new integrations and updates this week.
Danielle Andrus | March 24, 2017
Hearsay has enhanced its enterprise compliance platform to use predictive analytics to separate actual compliance risks from false alarms.
Melanie Waddell | March 03, 2017
Gone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.
Danielle Andrus | February 16, 2017
Riskalyze announced a plethora of new products at the Technology Tools for Today conference in Garden Grove, California, on Wednesday.
Danielle Andrus | January 12, 2017
A leaner, meaner platform than competitors will help midsize firms provide more holistic planning for clients.
Mary Anne Durall | November 28, 2016
Politics aside, the best advice for insurance and finance firms is to proceed, full steam ahead, with fiduciary rule compliance plans.
Danielle Andrus | November 23, 2016
Regulators are using technology to crack down on financial services firms; advisors should use the same technology.
Marlene Y. Satter | October 10, 2016
The platform enhancement is designed to help advisors comply with the new rule as part of a "seamless wealth management process."
Danielle Andrus | October 06, 2016
Hootsuite recently launched a social media solution designed to help advisors use social media more efficiently while staying in compliance.
Melanie Waddell | June 20, 2016
Regulators are increasingly scrutinizing firms electronic messaging compliance, but compliance officers report low confidence in their ability to keep up.
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