Summit Equities will pay $100,000 for failing to supervise reps who mishandled clients’ personal information.
Established financial services giants will continue facing pressure from fintech and wealthtech startups.
iCapital specially designed and built an alts tech platform for Rockefeller and its UHNW families and institutions.
Many Americans already know their financial plans need work, but few are “highly disciplined” planners.
These ETFs take a more tactical, actively managed approach to income and potentially greater returns.
A rewards program that lowers fees for clients who stick with the firm and with their financial plan is perhaps one other advisors should consider.
With more than $11 billion in AUM, Wealthfront built a direct integration with cryptocurrency platform Coinbase.
The unified platform will have more than $14 billion in TAMP assets.
The Bay State’s securities regulator has been busy this week.
