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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OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.
November 12
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The addition for Venture Visionary Partners grows its staff to 28 and total AUM to $3.7 billion.
November 12
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Executives provided advisors an update. The company has separately said it cut more than 200 retail branches at the end of last month.
November 12
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Tax policy for the next two years, and therefore tax planning strategies, may be determined in Georgia early next year.
November 12
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Vadim Verkhoglyad is Vice President and Head of Research Publication, dv01
November 11
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A former chief information officer of PR firm Cision will take over as CTO following Scott Grinis’s retirement.
November 11
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The average expense ratio for this group was more than 100 basis points.
November 11
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The 40-advisor OSJ brings more than double the assets of any other new group unveiled across the IBD network in 2020.
November 11
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A moderate pick with financial sector ties could upset progressives, while the likely GOP majority in the Senate could balk at a nominee seen as too liberal. Here are some of the candidates.
November 10
