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Bill Crager on Living an Intelligent Financial Life
Oct 27, 2022
Bill Crager, co-founder and chief executive officer of Envestnet, explains how investing can bridge the gap between a person’s financial reality today and their dreams for the future.
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Brian Hamburger on Building a Foundation for Success
Oct 27, 2022
Brian Hamburger, president and CEO of MarketCounsel and the Hamburger Law Firm, explains how firms can set themselves up for long-term growth.
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Brian McLaughlin on Compliant Text Messaging
Oct 27, 2022
Brian McLaughlin, president of Orion Advisor Technology, discusses how advisors and broker/dealers can more easily comply with SEC regulations around text messaging.
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Jamie Hopkins on Helping Clients Address Uncertain Times
Oct 27, 2022
Jamie Hopkins, managing partner of Wealth Solutions at Carson Group, details the three most pressing issues for clients—and how advisors can help manage them.
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Sheryl Hickerson on the State of Women in Finance
Oct 27, 2022
Sheryl Hickerson, chief executive officer of Females & Finance, shares how companies can move past “box checking” to truly become more welcoming to women.
Charles Schwab TD Ameritrade
Schwab-TDAI 'Conversion Event' Slated for Labor Day Weekend 2023
Oct 27, 2022
Schwab RIA execs reconfirmed repapering will not be needed for the majority of accounts, and ThinkPipes and iRebal will be included on Schwab's platform.
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SEC Wants a Higher Hurdle for RIAs’ Use of Third Parties
Oct 26, 2022
In the SEC proposal, RIAs would not be allowed to outsource to third parties unless they meet certain new requirements; some say the rule would be an extra burden for smaller advisors.
401k real talk
401(k) Real Talk Episode 39: October 26, 2022
Oct 26, 2022
Open, honest and candid discussions about the latest news in the RPA industry.
Cetera financial
Cetera Firms Ordered to Pay $9M for Share Class Violations
Oct 25, 2022
A United States District Court found that two Cetera firms failed to disclose conflicts of interest to advisory clients when recommending investment funds and taking 12b-1 fees, shared revenue, administrative fees and mark-ups.
NAPFA Interim CEO Leslie Stokes
NAPFA Announces Interim CEO Leslie M. Stokes
Oct 25, 2022
The head of a non-profit executive sourcing firm will take over for outgoing CEO Geoffrey Brown as the NAPFA board seeks permanent replacement.
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