Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
SEC to Update Electronic Filing Requirements
By Bernice NapachSEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.
November 04, 2021
Mallouk's Creative Planning Hits Unplanned MilestoneThe firm has reached $100 billion in AUM at "a speed that surprised us," CEO Peter Mallouk tells ThinkAdvisor.
November 03, 2021
Ex-Advisor Gets 3 Life Sentences for Bilking Senior Churchgoers in TexasWilliam Neil "Doc" Gallagher, a radio personality, ran a $32 million scam, prosecutors say.
November 03, 2021
Krull Challenges Advisors to Embrace SRI"Advisors don't have to be experts" in sustainable investing, he tells ThinkAdvisor. "They just have to understand it."
November 02, 2021
How DPL Partners' Lau Is Disrupting the Annuities BusinessHere's why a former insurance executive, and LUMINARIES winner, introduced an innovative platform for RIAs.
November 02, 2021
Cetera Rolls Out New Advisor Growth ProgramGrowth360 is a peer-based benchmarking and strategic framework to help advisors expand their practices.
November 02, 2021
Rep. Neal Vows to Fight On for IRA Changes, Secure Act 2.0In Build Back Better talks, lawmakers are "getting closer by the hour; we're still struggling over the SALT cap," he said.
November 02, 2021
How Super-Wealthy Americans Fare Under Biden's New Tax PlanHardest hit are those who make lots of money but have few legal options for sheltering it, like business owners.