Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-UBS Broker Spent $4.6M of Client Money on Gifts for Women: SEC
By Jeff BermanThe former broker is charged with defrauding a family out of more than $5 million.
January 24, 2022
Merrill Fires Advisor Who Threw Racist Insults, Drink at Smoothie ShopJames Iannazzo was charged with intimidation based on bigotry or bias, breach of peace and criminal trespass.
January 24, 2022
Morgan Stanley's Slimmon Warns Against Buying Growth-Stock DipHe also explains how the MSIF U.S. Core Portfolio fund he co-manages beat the S&P 500 with a 36% gain in 2021.
January 21, 2022
First Black CFP Board Chairwoman Aims to Be 'New Face' of Financial PlanningIncreasing access to, and diversity in, the profession are among the CFP Board's main priorities, Kamila Elliott tells ThinkAdvisor.
January 21, 2022
Creative Planning's Huge Step Into 401(k)sCEO Peter Mallouk tells ThinkAdvisor what's ahead for the 401(k) participants now serviced by his firm and why he does so many deals.
January 21, 2022
BofA Revamps Wealth Management Under Sieg, KnoxSieg, president of Merrill Lynch, is now responsible for the investment solutions and personal retirement groups.
January 21, 2022
Laird Norton, Wetherby Merge to Create $15B Wealth GroupThe combined entity is being led by Kristen Bauer and has offices in Seattle, San Francisco, Los Angeles and New York.
January 20, 2022
GMO's Grantham: Historic Stock Selloff Has BegunLosses in equities, bonds, real estate and commodities, he calculates, may reach $35 trillion in the U.S.