Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs
By Jeff BermanThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 05, 2023
Advisors Need Automation, Not 'Phoniness': Snappy Kraken"There's a real hunger for authenticity and being human," Snappy Kraken's Angel Gonzalez tells ThinkAdvisor.
June 05, 2023
Creative Planning Buys $2.5B Professional Services FirmThe addition gives Creative Planning an "even stronger presence in the Midwest," said CEO Peter Mallouk.
June 05, 2023
15 Casual Comments That Reveal Hidden Client NeedsWhat your clients tell you may hint at a financial problem (or opportunity!) they didn't realize they had.
June 05, 2023
Auto-IRA Bill Advances in Pennsylvania LegislatureAs drafted, the Keystone Saves program would utilize automatic enrollment, but participation would not be mandatory for employees.
June 02, 2023
9 Weird Facts About Social Security's Retirement Earnings TestUnderstanding earnings test rules can help clients tailor claiming strategies when "working in retirement" is on the table.
June 01, 2023
Why You Shouldn't Follow the Lazy Compliance CrowdWhen regulators visit, they don't care what other firms are doing; they're focused on examining you and your firm's conduct.
June 01, 2023
What's at Stake for Social Security as Debt Deal Moves to SenateExperts fear reduced resources for the IRS will have unintended consequences.