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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These conversations might be uncomfortable, but early intervention and planning can help prevent major financial disasters.
February 10
RBC Wealth Management US -
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The troubled alts manager’s charges will trigger many more arbitration proceedings and potential regulatory cases, plaintiff attorneys say.
February 9
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The company, which has seen headcount increase 45% since closing the deal, has eliminated more than 1,000 positions in recent months.
February 9
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Eden Lopez, Managing Director – Financial Advisor, RBC Wealth Management – US, has 25 years of asset management experience. She builds tailored portfolios to address the sophisticated financial requirements of the team’s client base of entrepreneurs, corporate executives, entertainment industry professionals, foundations and institutions.
February 9
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Lenders have issued about 50 structured products tied to Ark’s ETFs in the past three months, according to SEC filings.
February 9
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The lawsuit claims the no-fee brokerage preys on inexperienced and unsophisticated investors
February 9
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The team’s client base primarily consists of business owners, corporate retirement plans, families and individuals and retirees.
February 9
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Nick Frank heads the North American insurance practice at pricing, marketing and sales consultancy Simon-Kucher & Partners.
February 9
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Documents shed light on how two brokers overseeing trainees allegedly called hundreds of phone numbers on Merrill’s Do Not Call list.
February 9
