Jessica Mathews is an associate editor for Financial Planning. Follow her on Twitter at @jessicakmathews.
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The custodian has restructured the way it services RIAs and plans to scale.
August 28 -
Previously, criteria focused on an investor’s wealth. Now, a broader group has access to investments that include private company offerings and certain private equity funds.
August 26 -
More than 95% of comment letters submitted were opposed to the Labor Department’s proposed rule, according to a new analysis.
August 24 -
The company’s new self-guided tool will generate a plan for clients in as little as 15 minutes.
August 21 -
The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.
August 18 -
As consolidation reshapes the market, the custodian sees an opportunity to attract tech-forward and multi-custodial firms.
August 13 -
The firm will also pay a penalty and offer to buy back variable annuities the former broker sold to 21 other investors.
August 11 -
The fintech’s new executive says cryptocurrency will help communities that the financial services industry isn’t serving.
August 6 -
The firm’s growth plans come as the industry experiences a new wave of consolidation among custodians and fintechs.
August 6 -
The number of advisors registering with FINRA has fallen since 2016, as more planners elect a fee-only model.
August 4
