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Reports

The SEC Marketing Rule: Optimizing Digital Marketing With Compliance Tech

The SEC’s new marketing rule is effective November 4th, 2022, and provides a framework for advisors to follow regarding their performance advertising, use of testimonials and endorsements, and solicitation activities. Learn how the SEC’s new mar...

CRM and the Battle for RIA Market Share

CRM providers seeking to expand their appeal to RIAs must focus on creating a seamless user experience for the advisor. Custodians, for their part, play a key role in the processing and transfer of data. The CRM that partners with custodians to ...

Investor Portal 2.0: Functionality for a New Generation of Investors

The lines between traditional investor segments are blurring as digital behaviors become indistinguishable. A comparison of Javelin’s year-over-year investor data shows increased engagement in the wealth manager portal, but the preference for ad...

Direct Indexing and the Promise of Personalization

Although direct indexing may be understood as an investments solution, it is too powerful to be understood solely in terms of investments. Direct indexing functions as a lever for the building of client relationships and plays a critical role in...

Factors and Considerations for Retirement Professionals

  • Sponsored Webinar
  • Date: June, 2022
  • Author(s): William Trout
  • Research Topic(s): Wealth Management
Learn about the major movements impacting the retirement industry today, and why the need to accelerate digital transformation is more important than ever.

The Digital-Human Divide: Optimizing the Investor Journey

Today’s investor must go through numerous channels to access savings, investments, financial advice, long-term financial planning, and retirement services. Realizing that investors’ needs in having a single access point to money management and i...

PTE 2020-02: New Rules for the Rollover

The IRA rollover has been a flashpoint for the conflicting interests that have roiled the financial advice industry. From an oversight standpoint, the impact of the Department of Labor PTE 2020-02 rule (Prohibited Transaction Exemption 2020-02, ...

Prioritizing the Client Portal

Client portals are a treasure trove of client information that could benefit investors and advisors alike. However, wealth managers have long neglected to address the subpar user experience of their client platforms, which has driven investor cl...

Comply with Confidence: Preparing for FCA's Consumer Duty

  • Complimentary Webinar
  • Date: April, 2022
  • Author(s): William Trout
  • Research Topic(s): Wealth Management
This webinar will have an informative conversation with the compliance experts from NICE Actimize. William Trout of Javelin Strategy & Research will join the panel to share his thoughts on the topic.

Empowering the Investor via Personal Messaging Apps

While some firms see prohibiting the use of messaging apps as simpler than monitoring them, the preferences of a new generation of investors amid the pandemic have upended this calculus. These investors tend to be driven by personal need. They w...

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