Investment Platforms
Get the latest news and insights on investment platforms (including digital, mobile and online platforms), and how these developments impact financial advisors, the wealth management industry and more.
New Hire Roundup: Carasso Joins Senate Finance Committee Staff
By Marlene Y. SatterAmong this week's new hires, Adam Carasso joined the Senate Finance staff, and the IPA welcomed a new chairman and six new board members.
November 13, 2013
New Hire Roundup: Obama Taps Massad as CFTC ChiefMeanwhile, SEC named Gaunt chief of enforcement divisions municipal securities and public pensions unit, Rob Jasminski joined Citi Private Bank and more.
November 08, 2013
Unique Advisor Site Targets Ultra-AffluentMost striking, perhaps, is not what is present on high-end RIA Aspiriant's newly relaunched website but what is missing.
November 05, 2013
LPL Scores $1.2 Billion Hybrid RIAThe Householder Group, which has about 40 offices and 50 advisors, becomes the latest affiliate of the IBD.
November 04, 2013
UBS Grabs 11 Merrill Reps With $5 Billion in AssetsMeanwhile, Wells Fargo recruits a UBS team with nearly $130 million in client assets.
November 04, 2013
Dynasty Adds $1 Billion Texas-Based Wealth Team From Credit SuisseDynasty continues to build well, a dynasty, at least in the independent advisory space.
October 30, 2013
Ameriprise Doubles Profits on Higher Sales, Assets in Q3The wealth management unit also brought back actor Tommy Lee Jones for its advertising.
October 28, 2013
SEC Slaps 3 Advisors for Custody ViolationsThe SEC on Monday sanctioned three SEC-registered advisory firms for violating the custody rule.