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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What's going on at LPL, Captrust, Avantax, Pershing, Citigroup, Edelman Financial Engines, and other quick takes from around the industry.
April 1
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The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.
April 1
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Industry veterans are hoping that COVID brings about lasting change, while welcoming the return of some ancient finance traditions.
April 1
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After the Schwab-TD merger, rival firms are re-thinking the settlement process, testing new pricing models, and improving advisor efficiency and service. Is David sprinting past Goliath?
April 1
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One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.
April 1
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James Baublitz, CFA, is the managing director of pipeline analytics at Black Knight
April 1
