Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
If 90% of Clients Are Satisfied, Why Do Only 35% Make Referrals?
By Michael S. FischerA new survey from Julie Littlechild's Absolute Engagement shows how advisors can make clients happier.
July 12, 2023
Captrust Expands in South by Adding $2B Family OfficeAdding Southern Wealth Management will more than double Captrust's existing tax practice, according to the firms.
July 12, 2023
Do Schwab's New HNW Services Threaten Advisors?Experts debate if the offerings are handholding for wealthy DIY clients or competition for RIAs' hands-on services.
July 12, 2023
Hightower Invests in Tax FirmGMS Surgent will become a "wholly owned tax subsidiary," giving advisors access to complex tax and advisory services.
July 11, 2023
Merrill, BofA Fined $12M for Suspicious Activity Report FailuresBank of America improperly set a reporting threshold of $25,000 instead of $5,000, the SEC and FINRA found.
July 11, 2023
No, Social Security Shouldn't Invest in Stocks: ResearchersExperts say there are strong arguments on both sides, but the bigger concern is whether it's too late.
July 11, 2023
Raymond James to Pay $13M Over High FeesThe firm agreed to pay $4.5 million in fines to state regulators and to return $8.25 million plus interest to clients.
July 11, 2023
Schwab Sweeps $1M-Plus Clients Into New Private Client ServicesThese clients now have access to a dedicated Schwab consultant at no additional cost.