Investment Platforms
Get the latest news and insights on investment platforms (including digital, mobile and online platforms), and how these developments impact financial advisors, the wealth management industry and more.
UBS' Take on Fee Work: 'A Lot of Clients Want It'
By Janet LevauxMarten Hoekstra, head of U.S. wealth management for UBS, gives his opinion on the New York Attorney General's recent lawsuit, acquisitions and plans for 2007....
February 01, 2007
When Should You Register?Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under...
January 31, 2007
EBSA Rules On Combining Plan Advice, Asset ManagementA financial services company that structures the arrangement carefully can sell fee-based advice to members of a retirement plan while an outside firm is selling ...
January 31, 2007
EBSA Rules On Combining Plan Advice, Asset ManagementA financial services company that structures the arrangement carefully can sell fee-based advice to members of a retirement plan while an outside firm is selling ...
December 01, 2006
Richard ManchesterWave Wealth Management 479 Ocean Avenue, Suite D Laguna Beach, California 92651 Phone: 949-497-9100 [email protected] Year practice began: 2006 Number of advisor in firm: 1, plus three-person support staff Number of clients:...
November 01, 2006
O-Strip Gets the HookProduct deletions have been rare in the world of exchange-traded funds (ETFs), thanks to the industry's incredible growth in both new products and investor assets...
November 01, 2006
Gorman Says 'Be Brutal' as Firm's Results ImproveAt Morgan Stanley, the message is loud and clear: shoot for the best-quality, high-producing advisors. James Gorman, head of the firm's global wealth management group, says...
October 25, 2006
FSP Adds Investment Management SectionThe Society of Financial Service Professionals has introduced a unit aimed at members who want to talk about making assets grow.The FSP, Newtown Square, Pa., ...