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 new order applies to managing directors and executive directors who oversee subordinates, according to a person briefed on the plans.
September 11
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It also suggests digital advice providers “have only a few years to achieve critical mass, or they will be sold for parts like Motif and Folio Financial,” says one expert.
September 11
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Clients may have an ability to increase the ratio of after-tax dollars in their account by completing one or more transactions that are exempt from the pro rata rule.
September 11
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Richard Cordray was the first director of the Consumer Financial Protection Bureau and author of the book, Watchdog, about consumer finance and the CFPB.
September 10
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The pandemic has underscored the need for more socially and environmentally responsible financing.
September 10
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Some of the recently acquired advisors will open branch offices for the growing BD.
September 10
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To protect client nest eggs, advisors must know which savings vehicles are protected — and they’re not all created equal.
September 10
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“Everyone is looking ahead to the elections and what tax policy could look like in various administrations," says Ben Huneke, head of investment solutions in the firm's wealth management division.
September 10
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Keith Higgins is chair of
Ropes & Gray ’s securities & governance practice and previously served as director of corporation finance at the Securities and Exchange Commission from 2013-2017.September 10
