Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
AI Will Be Ready to Manage Money in 5 Years: MIT
By Lu WangAI could also evolve to meet one of finance’s highest bars: the fiduciary standard, says Andrew Lo.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 11, 2025
When a Client's Child Gets Married, It's Time to TalkPlanning around the happy day presents an opportunity to include adult children in the advisor-client relationship.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.
July 09, 2025
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami DolphinIsaiah T. Williams Jr. was arrested and released on a $1 million bond.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 08, 2025
12 States With the Most Potential AUM per AdvisorSeven states have more than $100 million in prospective assets available per advisor, SmartAsset reported.
June 26, 2025
Training Program for New Advisors Tops 2,000Amplified Planning’s 2025 Externship program has 2,078 enrollees; over 42% are women.