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Can Fintech Replace RPAs and Current Record-Keepers?Can Fintech Replace RPAs and Current Record-Keepers?

Those who do not adopt and incorporate the coming wave of AI and fintech apps may find themselves wondering why competitors can charge so little for plan services or are able to work with smaller plans.

Apr 24, 2023

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1 Min Read

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RIA Roundup: Atria to Acquire Grove Point Financial From Kestra RIA Roundup: Atria to Acquire Grove Point Financial From Kestra

Apr 21, 2023

1 Min Read

Brighton Jones Chief Experience Officer Carley Dillon

RIA Edge 100: Brighton Jones RIA Edge 100: Brighton Jones

Apr 21, 2023

1 Min Read

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Regulation & Compliance

'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators 'Pig-Butchering' Scams a Top Investor Threat, According to State Regulators

byPatrick Donachie

Apr 20, 2023

1 Min Read

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Regulation & Compliance

New Reg BI Guidance Focuses on Care Obligations At Heart of Recent Enforcement New Reg BI Guidance Focuses on Care Obligations At Heart of Recent Enforcement

byPatrick Donachie

Apr 20, 2023

1 Min Read

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401(k) Real Chat: Ralph Haberli 401(k) Real Chat: Ralph Haberli

byFred Barstein

Apr 20, 2023

Mindy Diamond on Independence: OCIO Pioneer Jonathan Hirtle on Building a $20B RIA the Organic Way

Mindy Diamond on Independence: OCIO Pioneer Jonathan Hirtle on Building a $20B RIA the Organic Way

byMindy Diamond, Louis Diamond

Sanctuary Wealth Poaches Carson Counsel, Reprises CCO

Sanctuary Wealth Poaches Carson Counsel, Reprises CCO

byAli Hibbs, Reporter

Insights & Analysis

Optimizing CRE Debt In a Changing and Unpredictable Market

Optimizing CRE Debt In a Changing and Unpredictable Market

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More First Republic Advisors Jump to Rockefeller, City National Bank

More First Republic Advisors Jump to Rockefeller, City National Bank

byDiana Britton, Moderator, Managing Editor

The Healthy Advisor Podcast with Diana Britton

The Healthy Advisor: Overcoming Insecurities and Self-Doubt With Stephanie Bogan

The Healthy Advisor: Overcoming Insecurities and Self-Doubt With Stephanie Bogan

byDiana Britton, Moderator, Managing Editor

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Regulation & Compliance

SEC Fines Betterment $9M for Not Revealing Tax-Loss Harvesting Errors

SEC Fines Betterment $9M for Not Revealing Tax-Loss Harvesting Errors

byPatrick Donachie, Senior Reporter

First Citizens Hopes To Slow Attrition As SVB Wealth Leaves Broker Protocol

First Citizens Hopes To Slow Attrition As SVB Wealth Leaves Broker Protocol

byPatrick Donachie, Senior Reporter

Insights & Analysis

Going Global with Equities: The Balanced Approach

Going Global with Equities: The Balanced Approach

U.S. Rep. Andy Barr

Regulation & Compliance

Kentucky Congressman Seeks to Increase SEC Registration Threshold for Private Fund Advisors

Kentucky Congressman Seeks to Increase SEC Registration Threshold for Private Fund Advisors

byAli Hibbs, Reporter

Insights & Analysis

Women And Wealth

Women And Wealth

Insights & Analysis

Portfolio Strategy Panel: Help Deliver Top Quartile “Alpha” with Direct Indexing

Portfolio Strategy Panel: Help Deliver Top Quartile “Alpha” with Direct Indexing

UBS Has Held Talks With Former CFO Naratil About Possible Return

UBS Has Held Talks With Former CFO Naratil About Possible Return

byAmbereen Choudhury, Katherine Griffiths, Gillian Tan and Myriam Balezou

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Business Planning

How to Get Employees to Lead Themselves

How to Get Employees to Lead Themselves

byPenny Phillips, co-founder and President

Insights & Analysis

Aggregated Tax and Financial Data, Supercharge Advisor Productivity

Aggregated Tax and Financial Data, Supercharge Advisor Productivity

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Regulation & Compliance

Washington, Wyoming Finalize Best Interest Annuity Standards

Washington, Wyoming Finalize Best Interest Annuity Standards

byPatrick Donachie, Senior Reporter

401(k) Plan Changes Are Coming

401(k) Plan Changes Are Coming

byFred Barstein, The Retirement Adviser University,

In Morgan Stanley CEO Race, Wealth Boss Emerges as One to Watch

In Morgan Stanley CEO Race, Wealth Boss Emerges as One to Watch

bySridhar Natarajan

Beacon Pointe Enters NY with $1B YorkBridge Wealth Partners Acquisition

Beacon Pointe Enters NY with $1B YorkBridge Wealth Partners Acquisition

byAli Hibbs, Reporter

Schwab Leaders Say Firm Can Withstand Storm After Deposit Drain

Schwab Leaders Say Firm Can Withstand Storm After Deposit Drain

Industry News & Trends

Shifts in Data Center Investment Trends

Shifts in Data Center Investment Trends

Charles Schwab office

Schwab Faces Fresh Risks in the Zero-Fee Landscape It Shaped

Schwab Faces Fresh Risks in the Zero-Fee Landscape It Shaped

byAnnie Massa and Edward Harrison

SEC building

Regulation & Compliance

DOJ Antitrust Unit Urges Caution in SEC Stock Market Revamp

DOJ Antitrust Unit Urges Caution in SEC Stock Market Revamp

byLydia Beyoud and Leah Nylen

RIA Roundup: Retirement Plan Biz Brings $5.6B AUM to OneDigital Investment Advisors

RIA Roundup: Retirement Plan Biz Brings $5.6B AUM to OneDigital Investment Advisors

byAli Hibbs, Reporter

Industry News & Trends

Morningstar: Quality of Advice Most Common Reason for Firing an Advisor

Morningstar: Quality of Advice Most Common Reason for Firing an Advisor

byDiana Britton, Moderator, Managing Editor

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Industry News & Trends

Four More SVB Advisors Join Cynosure Wealth Advisors

Four More SVB Advisors Join Cynosure Wealth Advisors

byPatrick Donachie, Senior Reporter

Mary Mack

Wells Fargo’s Mack, Onetime CEO Contender, to Retire This Summer

Wells Fargo’s Mack, Onetime CEO Contender, to Retire This Summer

byHannah Levitt

Insights & Analysis

Developing a Repeatable & Helpful Client Service Flywheel with Carl Richards and Jess Bost

Developing a Repeatable & Helpful Client Service Flywheel with Carl Richards and Jess Bost

Industry News & Trends

WeWork Venture Defaults on Loan for San Francisco Office Tower

WeWork Venture Defaults on Loan for San Francisco Office Tower

Regulation & Compliance

Feds Charge Fugitive Advisor for $10M Investment Fraud

Feds Charge Fugitive Advisor for $10M Investment Fraud

byPatrick Donachie, Senior Reporter