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 firm's employee brokerage is bringing Alex. Brown, which it acquired in 2016, more firmly into its fold.
July 10
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In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.
July 10
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Following a Supreme Court ruling banning race-conscious college admissions, some advisors fear that RIAs will step back from their DEI initiatives.
July 10
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Drew Tignanelli argues that financial advisors should be subject to the more rigorous professional and educational standards governing doctors and accountants.
July 10
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Alyssa M. Reed, CPA is a senior tax adviser with a wealth management firm. Reach her at
alyssamreed96@gmail.com .July 10
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A small tweak to business practices could earn many firms in the industry much more in income, and it's hiding in plain sight.
July 7
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Plus, two wealthtech startups celebrate successful funding rounds.
July 7
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Some of the biggest names in banking have started using large language models to organize their institutional knowledge, but use cases like chatbots remain experimental.
July 7
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The ex-financial advisors used clients' money on their businesses and other expenses like homes and travel, according to investigators.
July 7
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