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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Moves and news at Stifel, Avantax, Cetera, D.A. Davidson, John Hancock Retirement and other quick takes from the week in financial advice.
April 16
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Wealthy retail matriarch Beverley Schottenstein will accept less than the $10 million that FINRA ordered her two grandsons, former JPM brokers, to pay her for mismanaging her money.
April 16
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An interactive dialogue with Founder and CEO of NorthOne on the fintech industry, the growing needs of challenger banks, and the future of SMB banking.
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He takes over for Chris Harvey, who ran the team for four years.
April 15
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Despite losing more than 295 net advisors in the first three months of the year, the wirehouse had one of its best quarters in history in terms of revenue.
April 15
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While efforts to recover cash through litigation have repaid nearly 70% of valid claims, hundreds say they have been victimized a second time by that system.
April 15
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Advisor Kip Adams says access to the IBD’s trading platform and tools have “already improved how we open new accounts and manage our business.”
April 15
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Jeremy Smith has more than 20 years of actuarial and financial risk management experience. Throughout his professional career, Jeremy has worked extensively with national and global insurance and reinsurance companies as well as with numerous self-insured programs. Jeremy has assisted clients by providing technical actuarial studies for a wide variety of lines of business and risk exposures, and advised clients on actuarial modernization and the future of the actuarial profession.
April 15
