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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A little-known feature of RMD tax withholdings could help minimize a client's effective tax burden. Not all financial advisors are on board with the strategy.
May 12
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Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.
May 12
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The investment strategy may generate much greater loss harvesting than direct indexing, but backers point out that they work much differently.
May 12
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Kamron Clifford has extensive experience in product management and leadership roles in the technology and mapping industries. Kamron is currently the Director of Product, Platform & Mobility Intelligence at Arity, where they lead a team in the development of a data ingestion and processing platform. Prior to that, Kamron worked at TomTom, where they held various positions including Director of Product Management and Senior Product Manager. Kamron has also worked at Tele Atlas, San Diego City Schools, University of Southern California, Environmental Careers Organization, Metropolitan Water District of Southern California, and Public Radio International. Kamron's experience spans across roles in product management, training, teaching, research, and communications.
May 12
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Alvin Carlos, financial planner and managing partner at District Capital Management in Washington, D.C., uses Monday.com for CRM and financial planning.
May 12
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The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.
May 9
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Simon Randall is the CEO and co-founder of Pimloc, an AI company changing how global organizations can responsibly manage video content while maintaining public trust. Before Pimloc, he led the OMG Life team to develop and launch the world's first intelligent wearable camera and its associated technology platform licensing, before spinning out the visual classification side of the business to create Pimloc in 2017. He previously worked for a range of global businesses in London, Sydney and Istanbul, bringing with him a wealth of consumer tech experience including 12 successful years at Nokia across go-to-market, marketing, business strategy, insight and planning, global online sales, global performance marketing and product development areas. Prior to Nokia, he worked in a range of creative hot-houses and strategic consultancies across the beverages, banking and tech sectors.
May 9
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Also this week, a Dynasty Financial firm picks up a $1.5B team from Morgan Stanley, Wells Fargo recruits from PNC Investments and UBS, and LPL draws from Osaic.
May 9
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For many firms, looming advisor retirements and the need to retain client households through the next generations will create difficult problems.
May 9
