Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Peter Mallouk: Target Date Funds a 'Terrible Choice' for Most Investors
By Ginger SzalaThe Creative Planning CEO sparked a heated debate over the merits of this popular retirement investment.
September 29, 2021
RIA Fined for Charging 81 Clients Without Providing ServicesThe clients stopped receiving advisory services after their original advisors left the firm, the SEC said.
September 29, 2021
DOJ, SEC Charge Ex-Advisor With Bilking 3 Older ClientsThe ex-broker used the money to pay for luxury cars, vacations, private school tuition and a gold necklace, according to the authorities.
September 29, 2021
How a CPA Partner Can Boost Your PracticeAdding tax services can help advisors stabilize income, increase cash flow and give their practice more flexibility.
September 29, 2021
The History of the Financial Planning Profession, Part 1Let's take a look at how the profession has evolved so we can better understand where it's going.
September 28, 2021
Fidelity Rolls Out Fractional Share Trading for AdvisorsFractional share trading for stocks and ETFs is now available through Wealthscape,Fidelity's advisor technology platform.
September 27, 2021
A Strategy for When Your Friends Are Chosen for YouWhen chance or circumstance throws you and new people together, silence can be less than golden. Here are some pointers.
September 27, 2021
FINRA Dings Ex-UBS Rep for Failing to Repay Promissory NotesThe wirehouse had alleged its former advisor failed to repay more than $540,000 when he resigned.