Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Envestnet Reports Strong Results for New Brand Campaign: Tech Roundup
By Jeff BermanPlus, Northfield Information Services and Vestmark formed a new, expanded relationship to provide "more personalized solutions" to wealth managers.
December 23, 2021
3 Under-the-Radar Planning Tips for 2022 Tax ChangesThough Biden's spending plans are in limbo, advisors and clients shouldn't tune out when it comes to year-end planning for tax changes.
December 23, 2021
Merrill Revamps Wealth Management LeadershipThe unit named Lindsay Hans and Chandler Root as new division executives, according to Merrill President Andy Sieg.
December 22, 2021
Thrivent's Carolyn Armitage: The Resolution Advisors Should Make for 2022The Thrivent Advisor Network head is providing Thrivent's new independent RIA with strategic guidance.
December 22, 2021
5 Big Shifts That Will Reshape Wealth Planning in 2022 and Beyond: Northern TrustThe pandemic's impact will be felt long after it's declared over. Here's what advisors can expect.
December 22, 2021
FINRA Fines Merrill $950K for Failing to Red-Flag Reps Stealing From ClientsTwo of the firm's reps stole over $6 million from 13 clients in separate schemes that ran for several years, according to FINRA.
December 21, 2021
FINRA Orders Advisor Group, LPL, MML, UBS, Wells Fargo to Pay $9.5M Over 529 PlansFINRA has been encouraging firms to self-report problems with 529 plan share class recommendations.
December 20, 2021
Boost Your Value by Seeing How Taxes Are Part of Every Financial DecisionA stong understanding and appreciation of how tax shifts apply to clients can add an extra dimension (and appeal) to your practice.