Tag Archives: #BrokerDealer

Episode 171 – Thriving in the Retirement Boom: Insights for Advisors with Sean Murray

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , , ,

Sean Murray is the Head of Retirement at Envestnet. Envestnet is a firm focused on delivering an ecosystem of technology, intelligence, and investment solutions that together can support advisors in building portfolios that align with client priorities around sustainable investing.

Doug and Sean talk through the upcoming wave of assets, data opportunities, and the role of generalist advisors in this must-listen podcast episode.

Topics discussed:

  • The coverage gap in smaller businesses and the impact of the Secure Act 2.0 on retirement plan creation
  • State mandates and tax incentives driving the need for better retirement plan solutions
  • The role of generalist advisors in the retirement plan space and the need for support from broker-dealers
  • The potential revenue opportunities and advantages of managing retirement plans
  • Data aggregation and access to participant-level data for advisors 
  • Envestnet’s role in providing technology solutions, investment management, and a digital marketplace for retirement plans 

 

Resources: 

Envestnet

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Episode 161 – Axos Clearing Takeover: Expanding Offerings and Evolving the Market with Michael Scaplen and Mark Davies

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , , , , ,

In this episode, Michael Scaplen, Senior Vice President of Sales and Relationship Management at Axos Clearing, hosts an exclusive Axos Clearing Educational podcast for the Power Your Advice series. Michael is joined by Mark Davies, Co-Founder and CEO of S3. S3 is a full-service compliance and trade analytics software, providing financial industry clients with the intelligence, services, and technology that helps them to make their trades.

Michael and Mark discuss regulatory reporting as it relates to the most recent SEC proposals and CAT solutions. We hear about S3’s position in this space and how the firm is keeping its clients informed and their satisfaction prioritized.

They also discussed:

  • The beginnings of S3 and how the company got off the ground
  • The target audience of S3 and their customer base
  • The evolution of the market and the most significant challenges coming for the S3 client base
  • The four regulations proposed by the SEC and the resource of S3 which clients can leverage to keep informed about such changes in the industry
  • The S3 CAT (Consolidated Audit Trail) reporting system
  • The customized experience S3 provides their clients
  • What Mark sees for the future of the firm and the evolution of S3

 

Resources: 

Axos Clearing

S3

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