Dynasty Opens Up Financing to Outside Firms Via Envestnet Partnership
As part of the rollout of Envestnet's Advisor Services Exchange (ASx), Dynasty is opening its financing options to RIAs outside of its network for the first time.
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Well Fargo's RIA Channel Now at 13 Teams, $6 Billion in AUM
John Peluso, head of First Clearing, the Wells-owned custody platform for fully independent RIAs, told WealthManagement.com that the new channel counts 13 ex-Wells teams and has started to look externally.
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ESG Investors Are Confronting a Race Problem of Their Own
The lack of Black people and other minorities may explain why the world of ESG has fallen short on pushing corporations on race.
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RBC Adds Largest St. Louis Team From Morgan Stanley
The Market Street Group, with about $500 million in client assets, moves over from Morgan Stanley.
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280 CapMarkets Rolls Out Straight-Through Processing
The fixed income-focused tech company has automated the processing of client transactions.
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Banks Get Easier Volcker Rule and $40 Billion Break on Swaps
The Federal Reserve, Office of the Comptroller of the Currency and Federal Deposit Insurance Corp. approved changes to the Volcker Rule Thursday that let banks increase their dealings with certain funds by providing more clarity on what’s allowed.
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CFP Board Tightens Enforcement Ahead of Code of Ethics Implementation Date
As the result of background checks of all 87,000 CFPs, the group is now investigating 1,240 of them for possible misconduct.
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Wells Fargo FiNet Adds $3.2 Billion in Recruited Assets Since March
The president of Wells Fargo’s independent unit, Kent Christian, details the firm's recruiting amid the pandemic.
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The 20 Most Heavily Traded ETFs in the Past Month
The biggest ETFs—SPY, QQQ—were among those seeing the most trades over the past 30 days.
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Advisor Group Launches Reg BI Compliance Dashboard
The eQuipt Dashboard provides features to assist advisors with new compliance provisions.
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SMArtX Adds Direct Private Investing Option
SMArtX Advisory Solutions is adding an alternative investment option from Deal Book.
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Orion Adds Coronavirus, Inflation Offerings
Orion is adding a number of new models to its TAMP and model marketplace, including two focused on inflation and COVID-19.
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Report: Advisors Beware of Reg BI's Duty of Care Provision
A new report by Celent warns that broker/dealers and RIAs could face challenges meeting Reg BI's Duty of Care provision, among other concerns.
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Transparency with Diana B.: How John Hyland Fought Cancer and Won—Three Times
“I said, ‘Doc, am I going to live?’ And it was just silence. He finally says, ‘We have a lot of work to do.’ And that day was a tough day for me.”
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IRS Extends Rollover Deadline for Waived RMDs
Notice 2020-51 also gives guidance on required beginning dates and required minimum distributions.
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Dynasty’s Pivot to Virtual Events
A roundup of how Dynasty and its partner advisors are using virtual events to engage clients and prospects.
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DOL Puts Guardrails Around Use of ESG in Private Retirement Plans
The Department of Labor has proposed a new rule that would require more analysis and documentation around ESG investments in private retirement plans.
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Managing Retirement Plans Through the Pandemic
It’s proven possible to continue servicing clients effectively and to run a retirement plan business remotely in an era of masks and social distancing.
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What Mastercard's $1B Data Aggregator Finicity Deal Means for Advisors
Backed by Mastercard, advisors using Finicity could enjoy faster money movement across the data aggregator's North American footprint.
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