More about InVest: As new digital tools transform wealth management, the industry’s largest players are rushing to adapt to ever-increasing customer expectations, while smaller firms strive to keep pace. Behind the scenes, many are investing more on technology and hiring to drive growth, but margins remain under pressure. In|Vest West is exploring all the dynamics at play — from front to back office — and the technologies that are shaping the future of the firm.
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The settlement follows at least three other cases involving the bank-based brokerage’s supervision this year.
December 3
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The firm’s newest business unit’s first move is to acquire portfolio personalization software from Optimal Asset Management.
December 3
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Here's what you missed this week in wealth management.
December 3
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After two years of record M&A, rising asset prices and increasing digitization, independent advisors are poised to take on the brokerages, executives said.
December 3
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Marcus Newman, RHU, CBC is vice president of employee benefits at GCG Financial, an Alera Group Company, a leading provider of exceptional employee benefits, risk management and wealth management solutions. To reach the author, please email
Marcus.Newman@gcgfinancial.com or for more information visitwww.gcgfinancial.com .December 3
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Signs point to yes, say our columnists, who note that COVID-19 pandemic conditions have proved a boon to the firms and M&A activity.
December 3
Allworth Financial -
Many proposals for tax hikes on the wealthy haven't materialized, leaving investors with trusts, gifts or sales that might now seem hasty — or not.
December 2
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Intercontinental Wealth Advisors this week announced a partnership and sponsorship with UTSA standout Rashad Wisdom. But his connection with the firm is much deeper than that.
December 2
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The wirehouse’s compensation system will see small changes as brokerages confront their recruiting and retention challenges.
December 2
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