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By  Michael P. Scaplen   Advances in technology, going as far back as the development of the telegraph and the first transatlantic wires, which opened global markets, have driven change in the financial services industry.  In addition, rapidly evolving technology,...

Advances in technology, going as far back as the development of the telegraph and the first transatlantic wires, which opened global markets, have driven change in the financial services industry.  In addition, rapidly evolving technology, consumer demand, regulatory...

There are more than 30,000 SEC and State-registered investment advisors (RIAs) in the United States. While the populations they serve are diverse, advisors across the industry have noticed a similar shift in what clients need and expect from RIAs. More so than in the...

Independent Broker-Dealers (IBDs) and Registered Investment Advisors (RIAs) are dealing with a dramatically altered fee and technology landscape. Both scenarios have placed an added emphasis on partnership relationships especially those that support back office and...

The business landscape for independent broker-dealers continues to be challenging, and it’s helpful to understand some of the headwinds that firms will be facing in 2022 and beyond. Knowing and understanding these issues can help broker-dealers plan ahead, be...

There’s no question that switching custodians is a big undertaking for an RIA. But making a change is well worth the effort if it means you can offer better support, products, or services to your clients. If you are considering transitioning to a new custodian, you’ve...

Only time will tell just how much the pandemic affected how we do everyday business on a long-term basis. If the last three years have proven anything, it is that firms need to have access to efficient and adaptable technology that is robust and can provide the...

We’re spoiled by expecting immediate transactions, whether we’re buying a gift on Amazon or buying and selling equities. Real-time electronic data protocols, like FIX (Financial Information eXchange), facilitate the instantaneous updates that notify you of the stages...

Over the years, firms have constantly rotated between proprietary technology and using shared concepts and resources. While there are many benefits to home grown or custom designed systems, initial development costs and the ongoing maintenance of those can limit...

By Todd Shriber, Advisorpedia Clearinghouses are often viewed as the middlemen of financial markets, and the services they provide are essential. Independent broker-dealers know as much and those looking to grow and streamline their firms also know the value in...