Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
FINRA Bars Ex-Northwestern Mutual Rep for Taking Loan From a Client
By Melanie WaddellDaniel Schmid violated firm policies by borrowing $25,000 from a customer for a business venture, an order states.
September 01, 2026
Orion Adds BlackRock, Fidelity and Vanguard to Tailored Allocation PortfoliosThe strategies enable advisors to gradually migrate assets for clients with concentrated positions or tax sensitivities into model portfolios.
September 01, 2026
10 Steps to Turn Seminar Attendees Into ProspectsEngage them — people do business with people they like.
August 31, 2026
Scammed Client Accuses Ameriprise of NegligenceAn advisor should have asked more questions about suspicious withdrawals, a lawsuit suggests.
August 28, 2026
Advisors Weigh Vanguard Deal, On and Off Altruist's PlatformSome see a credibility boost and new competition for Schwab and Fidelity; others fear Altruist could lose its edge.
August 27, 2026
Matt Reiner Says 'Every Human Needs a Human Financial Advisor.' He Thinks AI Can Help.With Capital Investment Advisors, the FPA has developed FPAi Authority to educate advisors on the technology.
August 27, 2026
PRO
Selling Your RIA to Private Equity Without RegretsTalk to multiple firms, do your homework and prepare for a mindset shift, Allworth Financial co-founder Scott Hanson advises.
August 26, 2026
PRO
How Constant Communication Led This Advisor to Organic GrowthKevin A. Brown doubled his AUM in three years to $157 million by engaging clients and prospects.