Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Morgan Stanley's $10.2M Deal Over Advisor Expenses Heads Back to Court
By Jeff BermanThe settlement is tied to a class-action complaint that the firm didn't correctly reimburse some 3,000 advisors.
August 19, 2022
Dynasty Partners With Pontera on Retirement Outcomes: Tech RoundupAlso, Orion has partnered with Apex to launch a fast, fully digital account opening for independent advisors.
August 18, 2022
Reverence to Take Stake in $16B RIA SEIAAdvisor Group will also make an investment to "support the next phase of SEIA's growth," the companies say.
August 18, 2022
Commonwealth Adds $1.4B TeamThe group used to work with Principal Securities; it includes seven advisors and is based in Cedar Rapids, Iowa.
August 17, 2022
Stock Buyback Tax Is a 'Silly Mistake': Charles EllisThe strategist also shares his views on the value of index funds and why "almost everybody needs a financial advisor."
August 17, 2022
Creative Planning Buys Wipfli's $5B RIAThe Milwaukee-based RIA includes 80 advisors, a retirement-plan services group and a digital investment tool, Avid.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.
August 16, 2022
Cambridge Taps 3 Execs for New RolesThe shifts are "all about continuity of leadership," said CEO Amy Webber, who added: "Our goal is to remain internally controlled."