Robinhood Fined for Violations Related to Payment for Order Flow

Dec 19, 2019

FINRA slapped the firm, valued at $7.6 billion as recently as July, with a $1.25 million fine for failing to meet the requirements of the regulator's Best Execution rule.

Michael Kitces' #FASuccess Podcast: Virtual Flexibility with Derek Notman

Dec 19, 2019

Derek Notman describes his journey from a high-volume bricks-and-mortar office-based practice to an entirely virtual one.

Westwood: Get Ready For "Creative" Active Investment Management

Dec 18, 2019

The Dallas-based investment management firm shared its outlook for how to differentiate and what financial advice will look like in the years to come.

Janney Montgomery Scott: It's All About the Team

Dec 18, 2019

Asking for help shouldn't be a leap of faith, plus support staff is often eager to take on new roles, said Caitlin Ulmer-Long.

Welcome to “The Era of Reg BI”

Dec 18, 2019

Risk metrics and new regulations will go hand-in-hand in the coming years.

Orion Adds Tax-, Risk-Focused Integrations

Dec 18, 2019

Advisors using LifeYield, Totum Risk and Orion Advisor Solutions will see greater efficiency, according to the firms involved.

Castle Hill Launches Free Due Diligence Tool

Dec 18, 2019

The firm aims to make existing SEC data from Form ADVs more useful and timely.

Disruptors, Old and New, Eye Fractional Share Investing

Dec 12, 2019

Robinhood promises long-demanded DRIP accounts and fractional share investing, while Schwab provides its own commitments.

Bill Crager on Leading Envestnet Through Grief and Sorrow

Dec 12, 2019

Envestnet President Bill Crager got a devastating phone call on Oct. 3 when he learned that Envestnet co-founder Jud Bergman had passed away. Here’s what happened next.

Riskalyze Fintech Report Card: November 2019

Dec 12, 2019

Riskalyze CEO Aaron Klein gives the thumbs-up or thumbs-down on the biggest news to hit advisor technology in the previous month.