Fintech providers and RIAs looked into the future and found that data is key to building a better business for advisors during a Wealth Management Industry Awards Technology Roundtable discussion.
Virginia's State Corporation Commission's ban on advisors using mandatory arbitration clauses in advisory contracts went into effect this week, but the rule is likely unenforceable.
Rockefeller Capital Management has agreed to acquire Financial Clarity Inc., a Mountain View, California-based multi-family office that oversees $2.3 billion of assets.
A significant number of investors are putting retirement goals at risk to help their adult children and aging parents; women investors are more likely to make the sacrifice.
The regulator alleges that the firm improperly charged advisory fees on retail accounts that had been inactive at least a year and charged excess commissions on brokerage client investments in unit investment trusts.
