Financial Industry Blog
News, Tools, and Insight by AdvisorPeak
Still Using Excel? Ditch an Outdated Method and Decrease Compliance Risk
Financial planning is not the pen and paper activity it used to be, and the argument for using Excel - or not, surprisingly still exists. Some advisors argue...
Tech Stack Customization: What It Should Do for You
It is critical to select technology based on what the software can do for you and your clients’ needs. As transactional relationships in the wealth management...
Open Data: The Gateway to Choice
The wealth management industry is redesigning faster than ever before—Intense M&A activity, commission compression, price wars, and use of open data. Open...
Does Your Software Separate You from the Competition?
Advisors that are ahead of their time in their technology and their business acumen are often the ones that scale quickly. With compression of the industry...
Having a Hard Time Recruiting Advisors? Start By Upgrading Your Tech
The past two years have catapulted the need for financial advice and more advisors even faster than expected. Firms anticipate increasing business over the...
AdvisorPeak Appoints Mark Hollingsworth as Chief Strategy Officer
LAYTON, Utah, June 29, 2021 /PRNewswire/ -- AdvisorPeak today announced the appointment of Mark Hollingsworth as Chief Strategy...
How Advisors Help Clients Through Cash Management
Many Americans continue to be economically impacted as our country continues toward recovery from COVID-19. Liquidity for an unexpected life event through a...
5 Business Initiatives RIAs Must Implement This Year
2021 has been a year of transition for many financial firms coming out of COVID-19. The event has been exposing challenges for some, while others are...
Crypto Isn’t a Trend; It’s Here to Stay.
Crypto is becoming mainstream prompting custodians and financial companies scrambling to develop their crypto platforms. And advisors previously cautious...
Risk Analytics: Why Include It in Your Tech Stack?
Risk in portfolios is nothing new to advisors and investors alike. But the risk isn’t always addressed appropriately, leaving investors open to losses. We...
Direct Indexing: A Powerful Strategy for Investors and Portfolios
Direct indexing is a type of indexing where investors (or their advisors on their behalf) buy individual stocks in an index. The theory behind direct indexing...
AdvisorPeak Brings Trading & Rebalancing to INVENT’s Cloud Native Wealth Management Platform
LAYTON, Utah, May 20, 2021 /PRNewswire/ -- AdvisorPeak today announced a strategic partnership with Invent.us (INVENT), becoming the first...
Considering Building Your FinTech Software? Think Again.
The wealth management industry of today moves fast and requires technology to keep pace. The pandemic exposed companies that had outdated technologies,...
Alternative Investments in 401(k)s?
The U.S. Labor Department has loosened the rules about 401(k) retirement savings plans, allowing a private equity component, aka, alternative investments....
Compliance- New Regs for 2021
Like every new year, 2021 has brought some new regulations for advisory firms. Here are two significant regs that may impact your firm this year: Advertising...
AdvisorPeak Unveils First Digital Asset Trading Solution for Independent Advisors
SALT LAKE CITY, April 14, 2021 /PRNewswire/ --AdvisorPeak today became the first wealthtech solution for independent advisors to deliver trade...
Reg BI: Are we ready? How will it affect firms?
Reg BI, short for Regulation Best Interest, was implemented by the SEC in 2019. FINRA enforces the rule. However, once again, Reg BI is at the center of...
Tax Analysis
In managing your client's portfolios, there are numerous tax-related scenarios that require monitoring throughout the year. Your firm's ability to monitor and...
Should Advisors be Classified as Employees?
The recent passage of The PRO Act by the U.S. House of Representatives has brought the issue of whether financial advisors are employees or independent...
Tracking Variance Analysis
The investment strategy that you design and implement for your clients typically includes a target asset allocation. Beyond this, you monitor how a household...
System Integrations– No Longer a Luxury
RIAs typically use a variety of systems in managing their client’s accounts. These may include portfolio management software, trading and rebalancing...
Monitoring Trading Alerts
During the course of a year as an RIA, you make numerous trading decisions on behalf of your clients. Setting trading alerts to match certain market...
Monitoring Trading Alerts Through Innovative Software
Tracking significant transactions in your client portfolios is an important part of managing your client portfolios. There are several significant...
Another Dotcom Bubble- Are the Markets Bracing for a Crash?
Though it seems like yesterday to some of us, the Dotcom bubble's bursting, and the ensuing market decline began over 20 years ago. The Dotcom burst in 2000,...
Trusts, Legacy Planning, and High Net Worth – An Opportunity for RIAs
Financial advisors have long sought to do business with high and ultra-high-net-worth clients. These clients, by definition, have large investment portfolios...
Mount Rushmore of Finance & Wealth Tech
In the sports world recently, many commentators have been asked what players are on their “Mount Rushmore” as the greatest that ever played the game. As...
Accredited Investors, Private Placements, and the Right Software
On December 8, 2020, The SEC's expansion of Accredited Investor's definition became effective, expanding individuals that are 'accredited.' The definition...
Trading Alerts
Today's financial advisor is looking for efficient tools to help manage their client's portfolios and streamline their practice to operate more efficiently....
AdvisorPeak Introduces New Model Portfolios on Trading Platform
SALT LAKE CITY, Feb. 1, 2021 /PRNewswire/ -- AdvisorPeak announced the addition of multiple investment model portfolios to its tax-efficient, risk-based...
Cash Accounts and Financial Wellness
Cash accounts are one of the ways that advisors can help ensure financial wellness for clients. Often, cash accounts are for reinvesting opportunities and...
FinTech News
BlackRock Strengthens Aladdin Platform’s Trading Capabilities: Tech Roundup
on ThinkAdvisor
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Enhanced tax credit entices more companies to offer 401(k) plans
on Pensions & Investments
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AdvisorPeak Unveils Digital Asset Capabilities for FAs on Its Platformk
on Financial Advisor IQ
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AdvisorPeak Partners To Add Crypto Trading, Rebalancing Functions
on Financial Advisor Magazine
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Envestnet, Orion and Schwab will all launch crypto capabilities soon enough, insiders say, but Damon Deru just beat them all to market with more than a hack
on RIABiz
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A Look At Advisor-Facing Fintech From Three Different Vantage Points
on Digital Wealth News
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AdvisorPeak Integrates THOR, Envestnet Beefs Up Recommendations, RobustWealth Remodels
on Wealth Management
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For all media inquiries, please contact Andrew Jennings at andrew@theplunkettgroup.com.
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