A panel discussing succession planning also noted giving next-generation managers “permission to fail” as they learn to run their parts of the business.
Via a new partnership with Pontera, Dynasty Financial Partners’ adviser clients will gain greater visibility into held-away accounts, including 401(k)s and 403(b)s.
It also helps wealth management RIAs be better prepared for examinations.
Lincoln Financial Group releases new guaranteed lifetime income option; MUFG adds Broadridge loan tracker; and USI Advisors adds Investment Metrics portfolio solution.
Between March and May, there were only 10 RIA transactions and two IBD deals, according to Fidelity.
RIA education organization rebrands; USCF adds nultiple ETPs to TD Ameritrade platform; Transamerica alters subadvisers, fees for Large Growth Fund; and more.
Form ADV includes a number of questions about the custody of client assets; these questions continue to be a source of widespread confusion and inconsistent interpretations in the asset management industry.
They see the differences between wirehouses, broker/dealers and registered investment advisers blurring.
This is the fifth year in a row they have identified cybersecurity as their No. 1 concern.