USPTO serial 98617508
PRACTICE360°
Reviewed by CopyMark Law Group
Status 730Notice of Allowance
- Filing date
- Status date
- Registration date
- —
- Examiner
- LEARNED, GLEN D
- Law office
- INTENT TO USE SECTION
What this means
The USPTO has issued a Notice of Allowance. To complete registration you generally need to file a Statement of Use or an extension request before the deadline.
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Owner
Needham, MA, US
Needham, MA, US
Attorney of record
The USPTO lists this attorney as the applicant's representative for correspondence on this application.
Daniel Hwang
Daniel Hwang Spencer Fane LLP1233 20th St. NWSuite 600Washington, DC 20036Goods and services
| Class | Description | Status | First use |
|---|---|---|---|
| 036 | Providing information regarding financial investment strategies; Financial asset management; Financial data analysis services, namely, aggregating of investor data from disparate sources to power applications that create a complete financial picture for investors, financial advisors, and financial institutions; Financial information services provided on-line from a computer database or a global computer network, namely, providing information in the field of stocks, securities, and financial planning. | ACTIVE | — |
| 042 | Platform as a service (PAAS) featuring computer software platforms for accessing financial planning information, namely, investment portfolio reporting; Software as a service (SAAS) featuring computer software platforms for accessing financial planning information, namely, investment portfolio reporting; Platform as a service (PAAS) featuring computer software platforms for financial advisors to manage and grow their books of business from a centralized platform and software suite; Software as a service (SAAS) featuring computer software platforms for financial advisors to manage and grow their books of business from a centralized platform and software suite; Platform as a service (PAAS) featuring computer software platforms for financial advisors to compile and configure personalized dashboards, widgets, saved searches, user-defined work processes, and team collaboration; Platform as a service (PAAS) featuring computer software platforms for bundling individual financial reports so that financial advisors can give their clients a personalized, curated story at scale with the click of a button; Platform as a service (PAAS) featuring computer software platforms for facilitating portfolio and performance reporting by providing digital and PDF access to financial account balances, holdings, activities, and performance on an advisor's book of business, specific households, or clients; Software as a service (SAAS) featuring computer software platforms for facilitating portfolio and performance reporting by providing digital and PDF access to financial account balances, holdings, activities, and performance on an advisor's book of business, specific households, or clients; Platform as a service (PAAS) featuring computer software platforms for enabling financial advisors to develop a financial plan based on a client's goals and conduct scenario analysis based on defined assumptions; Software as a service (SAAS) featuring computer software platforms for enabling financial advisors to develop a financial plan based on a client's goals and conduct scenario analysis based on defined assumptions; Platform as a service (PAAS) featuring computer software platforms for financial proposal generation that enable advisors to deliver a proposed recommended investment strategy to clients based on their risk profile and investment objectives; Software as a service (SAAS) featuring computer software platforms for financial proposal generation that enable advisors to deliver a proposed recommended investment strategy to clients based on their risk profile and investment objectives; Platform as a service (PAAS) featuring computer software platforms for facilitating aggregated views of various types of life insurance, long-term care insurance, disability insurance, and annuities, and which also includes integrated illustrations and applications that simplify the addition of insurance products to a client's portfolio; Software as a service (SAAS) featuring computer software platforms for facilitating aggregated views of various types of life insurance, long-term care insurance, disability insurance, and annuities, and which also includes integrated illustrations and applications that simplify the addition of insurance products to a client's portfolio; Platform as a service (PAAS) featuring computer software platforms for financial advisors to create models at practice, group, household, and account levels based on clients' goals and preferred allocations and conduct trades to rebalance models; Software as a service (SAAS) featuring computer software platforms for financial advisors to create models at practice, group, household, and account levels based on clients' goals and preferred allocations and conduct trades to rebalance models; Platform as a service (PAAS) featuring computer software platforms for financial advisors to manage all aspects of the relationship with a client, including contact information, opportunities, and advisor-client interactions and communications; Software as a service (SAAS) featuring computer software platforms for financial advisors to manage all aspects of the relationship with a client, including contact information, opportunities, and advisor-client interactions and communications; Platform as a service (PAAS) featuring computer software platforms for facilitating on-boarding of clients and facilitating financial recommendations; Software as a service (SAAS) featuring computer software platforms for facilitating on-boarding of clients and facilitating financial recommendations; Platform as a service (PAAS) featuring computer software platforms for financial advisors to manage secure creation, modification, sharing, imaging, e-Delivery, and searching of all investment documents between and among financial advisors, the home office, and clients; Software as a service (SAAS) featuring computer software platforms for financial advisors to manage secure creation, modification, sharing, imaging, e-Delivery, and searching of all investment documents between and among financial advisors, the home office, and clients; Platform as a service (PAAS) featuring computer software platforms for financial-advisor workflow management such as the templating of repeatable groups of activities that represent work-related processes and drag-and-drop features enabled to create dependencies and assign tasks; Software as a service (SAAS) featuring computer software platforms for financial-advisor workflow management such as the templating of repeatable groups of activities that represent work-related processes and drag-and-drop features enabled to create dependencies and assign tasks; Platform as a service (PAAS) featuring computer software platforms for providing notifications by email, text, and through dashboards on specific actions that occur within the overall platform; Software as a service (SAAS) featuring computer software for providing notifications by email, text, and through dashboards on specific actions that occur within the overall platform; Platform as a service (PAAS) featuring computer software platforms for managing and tracking interactions between advisors and clients throughout the platform in order to provide fuller context to client relationships; Software as a service (SAAS) featuring computer software for managing and tracking interactions between advisors and clients throughout the platform in order to provide fuller context to client relationships; Platform as a service (PAAS) featuring computer software platforms for financial advisor fee billing, and that stores advisor fee schedules and calculates and reports on fees with integrations back into a compensation system; Software as a service (SAAS) featuring computer software for financial advisor fee billing, and that stores advisor fee schedules and calculates and reports on fees with integrations back into a compensation system; Platform as a service (PAAS) featuring computer software platforms for optimizing and templating financial planning information; Software as a service (SAAS) featuring computer software for optimizing and templating financial planning information; Providing temporary use of online non-downloadable computer software for viewing financial account data and relevant non-financial information about their clients, for facilitating analyses of their clients' holdings, financial positions, and financial plans, and for conducting all client-based workflow from one central location; Providing temporary use of online non-downloadable computer software for use as financial analytical and planning tools; Platform as a service (PAAS) featuring computer software platforms including online portals featuring technologies and software that facilitate wealth and asset management, financial reporting, asset account status reporting, digital communications between financial advisors and their account-holding clients, and access to learning tools, articles, and reports in the fields of wealth management and investing; Software as a service (SAAS) featuring computer software including online portals featuring technologies and software that facilitate wealth and asset management, financial reporting, asset account status reporting, digital communications between financial advisors and their account- holding clients, and access to learning tools, articles, and reports in the fields of wealth management and investing; Providing temporary use of online non-downloadable computer software for a seamless aggregating of investor data from disparate sources to power applications that create a complete financial picture for investors, financial advisors, and financial institutions; Platform as a service (PAAS) featuring computer software platforms for receiving, compiling and organizing data from disparate sources in order to inform programmed applications which algorithmically assemble financial positions, forecasts, and recommendations for investors, financial advisors, and financial institutions; Software as a service (SAAS) featuring computer software for receiving, compiling and organizing data from disparate sources in order to inform programmed applications which algorithmically assemble financial positions, forecasts, and recommendations for investors, financial advisors, and financial institutions; Providing temporary use of online non-downloadable computer software platforms for integrating financial data associated with household-investor accounts, including multiple accounts related to members of the same family, single generation or multi-generational, in order to inform asset management, goal-planning, asset allocation, risk management, and portfolio performance; Providing temporary use of online non-downloadable computer software for use by authorized securities brokers, account representatives, and advisors for client communications, customer relationship management, workflow processing, financial planning/goals, proposals, document management, securities trading, insurance management, banking and loan management, financial model rebalancing, and case management; Providing temporary use of online non-downloadable computer software for viewing financial account data and relevant non-financial information about their clients, for facilitating analyses of their clients' holdings and financial positions, and for conducting all client-based workflow from one central location; Providing temporary use of online non-downloadable computer software for automated decision management; Providing temporary use of online non-downloadable computer software, namely, adaptive and predictive computer software for providing alerts, identified opportunities, notifications, workflows, education, case management, and information to users, as well as suggesting or automatically taking the next best action based on the particular circumstances; Providing temporary use of a web-based application designed for financial professionals that uses aggregated advisor and investor data to automatically apply workflow on the user's behalf and to create alerts to the same; Providing temporary use of a web-based software application for financial professionals that uses aggregated advisor and investor data to automatically apply workflow on the user's behalf and to create alerts to the same; Software as a services (SAAS) featuring computer software for recording and analyzing real-time data for live updates on personal investments and account holdings; Software as a service (SAAS) featuring computer software for monitoring and management of a financial advisor's practice, including by facilitating holistic views and insights into an advisor's entire practice, global views of total assets under management by an advisor, asset-holding and management trends within an advisory practice, and inflows and outflows of assets value into and out of the advisory practice; Platform as a service (PAAS) featuring computer software platforms for monitoring and management of a financial advisor's practice, including by facilitating holistic views and insights into an advisor's entire practice, global views of total assets under management by an advisor, asset-holding and management trends within an advisory practice, and inflows and outflows of assets value into and out of the advisory practice. | ACTIVE | — |
Related trademarks
CopyMark links this record to cited §2(d) serials, the owner's other marks, Nice classes, similar mark names, and recently changed USPTO applications.
Prosecution history
| Date | Code | Event | What it means |
|---|---|---|---|
| May 5, 2026 | EXRA | NOTICE OF APPROVAL OF EXTENSION REQUEST E-MAILED | — |
| May 4, 2026 | EX1G | SOU EXTENSION 1 GRANTED | — |
| May 4, 2026 | EXT1 | SOU EXTENSION 1 FILED | — |
| May 4, 2026 | EEXT | SOU TEAS EXTENSION RECEIVED | The applicant requested more time to file a Statement of Use before the Notice of Allowance deadline. Each extension typically adds six months. A limited number of extensions are available for intent-to-use applications not yet in use. |
| Feb 17, 2026 | EWAF | TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS | — |
| Feb 17, 2026 | TCCA | TEAS CHANGE OF CORRESPONDENCE RECEIVED | — |
| Feb 17, 2026 | ARAA | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Feb 17, 2026 | REAP | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED | — |
| Nov 11, 2025 | NOAM | NOA E-MAILED - SOU REQUIRED FROM APPLICANT | A Notice of Allowance means your intent-to-use application cleared examination and opposition but is not registered yet. You must file a Statement of Use showing the mark in commerce, or request an extension, before the deadline — usually six months from the notice date. |
| Sep 16, 2025 | NPUB | OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED | — |
| Sep 16, 2025 | PUBO | PUBLISHED FOR OPPOSITION | Your mark was published in the USPTO Official Gazette for a 30-day opposition window. During that period, third parties who believe they would be harmed can file an opposition. If no opposition is filed, prosecution usually continues toward registration or a Notice of Allowance. |
| Sep 10, 2025 | NONP | NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED | — |
| Aug 13, 2025 | CNSA | APPROVED FOR PUB - PRINCIPAL REGISTER | — |
| Jul 18, 2025 | TEME | TEAS/EMAIL CORRESPONDENCE ENTERED | — |
| Jul 18, 2025 | CRFA | CORRESPONDENCE RECEIVED IN LAW OFFICE | — |
| Jul 18, 2025 | TROA | TEAS RESPONSE TO OFFICE ACTION RECEIVED | This event means the applicant filed a response to a USPTO Office Action — typically arguments, amendments, or evidence addressing the examiner's objections. The USPTO will review the response and either allow the mark to proceed or issue another action. |
| Apr 18, 2025 | XELG | APPLICATION EXTENSION GRANTED/RECEIPT PROVIDED | — |
| Apr 18, 2025 | XELR | APPLICATION EXTENSION TO RESPONSE PERIOD - RECEIVED | — |
| Jan 21, 2025 | GNRN | NOTIFICATION OF NON-FINAL ACTION E-MAILED | A non-final Office Action means the USPTO examining attorney has raised at least one issue with your trademark application but has not made a final decision. You usually have three months to respond with arguments, amendments, or evidence. Missing the deadline can abandon the application. |
| Jan 21, 2025 | GNRT | NON-FINAL ACTION E-MAILED | A non-final Office Action means the USPTO examining attorney has raised at least one issue with your trademark application but has not made a final decision. You usually have three months to respond with arguments, amendments, or evidence. Missing the deadline can abandon the application. |
| Jan 21, 2025 | CNRT | NON-FINAL ACTION WRITTEN | A non-final Office Action means the USPTO examining attorney has raised at least one issue with your trademark application but has not made a final decision. You usually have three months to respond with arguments, amendments, or evidence. Missing the deadline can abandon the application. |
| Jan 21, 2025 | DOCK | ASSIGNED TO EXAMINER | — |
| Jan 17, 2025 | NWOS | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED | — |
| Jun 25, 2024 | NWAP | NEW APPLICATION ENTERED | — |