Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Bogus Broker Who Threatened to Kill Disabled Client Gets 5-Plus Years Behind Bars
By Jeff BermanGregg Brie admitted to embezzling funds from three victims, two of whom lived in his New York apartment complex.
November 22, 2021
Ric Edelman: This Asset Class Is 'the Best Investment Opportunity' Since the InternetThe industry VIP also shares details on his plans for 2022 and a list of the many books he's reading.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.
November 19, 2021
How Advisors Can Keep Up With Tax Changes: Jeff LevineThe CPA and planner is widely followed for his breakdowns of crucial tax and retirement legislation. He told us how he does it.
November 18, 2021
Top 20 RIA Wealth Management Firms of 2021RIA Database ranked firms with clean regulatory records that primarily serve individuals.
November 18, 2021
David Blanchett: More Retirees Are Shunning RolloversMore retirees are keeping assets in workplace plans longer, and that has implications for advisors, Blanchett says.
November 18, 2021
Envestnet Adds Structured Products, Teaming With Goldman Spinoff: Tech RoundupAlso, Goldman Sachs Advisor Solutions picks InspereX's BondNav as fixed income market tech for independent RIAs.
November 18, 2021
Thomas H. Lee Advisory Partner Buys Stake in $2B Austin RIAKent Weldon, who is also a Morgan Stanley alum, is backing an RIA led by Merrill Lynch veteran Russ Norwood.