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Andrew Salesky's tantalizing PortfolioConnect remark hints at Schwab's technology future, and 'open' or 'closed' -- that was API question at In|Vest West 2018 RIA custody panel
The Schwab technology chief may have stumbled on a strategy for big RIAs, but he also got challenged on his API philosophy... Read more » - The Fidelity exec shows forward thinking; the Wells Fargo exec talks branded RIAs and the cage match ... not so much... Read more »
Investors are biased against women, minorities, Morgan Stanley report finds
As a result, major profits are being left on the table.... Read more »- Advisers are grappling with how to proceed, with their clients and their businesses, as the insurer's new annuity trail policy takes effect.... Read more »
- The broker recommended that a customer open an account away from Securities America.... Read more »
Bonuses for Growing Assets ‘OK’ Under Reg BI–SEC’s Clayton
Asset growth awards are likely acceptable under forthcoming customer-care rules, SEC chairman tells Senate committee, even as he repeats his opposition to... Read more »- New partnership with Yext hopes to modernize and future-proof Morgan Stanley advisers' online presence.... Read more »
- The Oaks, Pa.-based TAMP plans is to lure reps with the 'nibbling' software maker it part owns with a buy-one-get-one-free coaching and... Read more »
- The new Prudential report surveyed members of diverse populations, including women, black Americans, Asian Americans, Latino Americans and members of the LGBTQ... Read more »
- A U.S. stock rally reversed course as traders grew skeptical of progress in the trade war and President Donald Trump threatened to... Read more »
- The married couple, Caroline Novak and Igor Lotsvin, run Sage Rhino Capital, an RIA.... Read more »
- SEC chairman refuses to give specific time line for final advice-reform rule, but says it's a priority.... Read more »
- Uber Technologies Inc. has selected Morgan Stanley to lead its public offering next year, according to two people familiar with the matter,... Read more »
- Asking first-round funding friends and family to extend support stressed out First Ascent's CEO but the fresh capital arrives as new sources... Read more »
- Small firm ordered to buy back elderly woman’s REITs, pay $25,000 of punitive damages for gross negligence and another $25,000 sanction for... Read more »
- Texas-based Bell Wealth Management specializes in serving the medical community... Read more »
- London-based Partners Capital co-founder creates strategy to build network by managing money for rich individuals.... Read more »
- Morgan Stanley is optimistic on emerging-market bonds looking ahead to 2019. Some of its clients less so. Read More The post Morgan Stanley... Read more »
- Top stories from around the web. Read More The post Morning Brief: Market Ranges 500 Points in Single Session appeared first on AdvisorHub.... Read more »
3 Reasons 401k Plan Sponsors are Smiling
As the year approaches its conclusion, it’s a good time to reflect on the good that we have seen in the 401k... Read more »
NEWS
10 Steps to a Great First Meeting
You’ve finally gotten a meeting with that top prospective client you’ve been trying to meet for weeks, maybe even a couple of... Read more »SEC Halts Alleged Insider Trading Ring Spanning Three Countries
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The SEC has filed insider trading charges against an IT contractor and two others he illegally tipped with confidential client information he... Read more »
#FASuccess Ep 102: Transitioning From Wirehouse To Independence: Is The Grass Really Greener? With Michael HenleyWelcome back to the 102nd episode of Financial Advisor Success Podcast. This week’s guest is Michael Henley. Michael is the founder and CEO... Read more »
The e-newsletter problem you don’t know about
Don’t get me wrong. Sending an e-newsletter is a great idea. I’ve gained thousands of dollars of business from my subscribers. But... Read more »Recent SEC Order Clarifies CCO and Other Firm Manager Liability
The SEC routinely hears appeals arising from FINRA disciplinary proceedings, and in turn issues “Adjudicatory Orders” announcing its decisions. To the extent... Read more »Rule 506 of Regulation D of the Securities Act of 1933 is one of the most commonly used registration exemptions to raise... Read more »
- Understanding FPA National’s “OneFPA Network” Plan To Dissolve And Consolidate Its Own Chapters
It’s no secret that the Financial Planning Association has struggled for many years with stagnant membership amidst an increasingly difficult and competitive... Read more »
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Can you spot what’s wrong in the image below? Please post your answer as a comment. I see a couple of problems... Read more »![]()
SEC Charges Family Friend of Former Investment Banker With Insider TradingThese charges involve an IT professional in Texas who allegedly participated in... Read more »Athletes need legal representation. One call to my office could have avoided all of this.---https://www.cnbc.com/2018/11/29/sec-charges-floyd-mayweather-dj-khaled-for-promoting-icos-without-disclosing-payments.html---Mark Astarita represented investors, brokers and issuers in... Read more »
- Weekend Reading for Financial Planners (Dec 8-9)
Enjoy the current installment of “weekend reading for financial planners” – this week’s edition kicks off with the latest edition of Financial Planning... Read more »
Wealthfront offers Path financial planning software free: Flash briefing for December 7, 2018Here are the links to today’s top stories: Introducing Free Financial Planning from Wealthfront SEI Strengthens Automated Workflows through Strategic Partnership with... Read more »- There are many ways in which advisers can serve the best interests of their clients. Some advisory firms with the background and... Read more »
- In our previous post regarding state-registered investment advisers, we examined the landscape and discussed common deficiencies found in state adviser examinations. In... Read more »
- Year-End Tax Planning Opportunities For Cash-Basis Small Business Owners
Generally speaking, business owners have at their disposal two common accounting methods allowed by the IRS. The first, and more complex, is... Read more »
