Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
60/40 Model 'Is Not Working' in This Market: Focus Financial's Adolf
By Jeff BermanTraditional asset allocation models "really need an update," the head of the RIA aggregator says.
August 08, 2022
FINRA Warns BDs of Spike in E-Signature ForgeriesThe regulator has received a growing number of reports about registered reps forging or falsifying client signatures.
August 08, 2022
Where 11 Advisors Are Telling Clients to Park Their Cash: Advisors' AdviceNow's a good time to discuss if clients can get higher returns in short-term investments and bank products.
August 08, 2022
A Game Plan for 'Overnight Millionaires'Newly rich families have five core needs that advisors should address when creating a comprehensive financial plan.
August 08, 2022
7 Senate Budget Package Highlights for Retirement AdvisorsNegotiators cut but left in plenty to interest retirees, pre-retirees and the financial professionals who work with them.
August 05, 2022
Ex-Rep Booted Over Claims of Racism Sues LPL for $95MThe broker-dealer ended its affiliation with Eileen Cure after claims surfaced online that she had refused to hire Black job-seekers.
August 05, 2022
What to Know About the 5 Stages of an SEC AuditJason Vinsonhaler of RIA in a Box discusses what advisors can expect and how to prepare.
August 04, 2022
BNY Mellon to Use Xceptor Tax Platform: Tech RoundupAlso, Envestnet is launching a "SpongeBob SquarePants" themed marketing campaign.