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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If planners can navigate data security and compliance concerns, the app can connect them with a huge new audience.
July 29
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Educating clients with startup businesses on the new regulations can help them provide for employees without breaking the bank.
July 29
Commonwealth Financial Network -
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The Minnesota-based Falldin-Mattson Group was previously at Morgan Stanley.
July 29
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It will be the largest bank channel team at the IBD, with its former clearing house Pershing taking a hit.
July 29
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Hilltop was fined a total of $475,000, with $100,000 pertaining to violations of municipal securities rules.
July 29
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The cuts are among the first under new CEO Kentaro Okuda, who since taking the reins has said an existing $1.3 billion restructuring plan is no longer enough.
July 29
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The firm allegedly didn't disclose its parent company paid a teacher union entity $10,000 a month “for its exclusive endorsement” as its preferred financial services partner, according to the regulator.
July 29
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Klaus-Michael Vogelberg is a British/German software entrepreneur and Sage’s Chief Architect, responsible for technology strategy, architecture, and innovation.
July 29
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An all-woman team joined the firm in Miami while a branch manager is installed in a new Northern California office.
July 29
