Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Advisor Loses Appeal, Gets 40 Years in Prison for Ponzi Scheme
By Jeff BermanThe former advisor, broker and owner of a Raleigh, North Carolina, financial services firm had been convicted in 2019.
September 09, 2021
After NCAA Ruling, Morgan Stanley Takes On a New MarketSandra L. Richards tells ThinkAdvisor how the firm's specialized advisors help college athletes build a road map to financial success.
September 09, 2021
Mariner Wealth is Buying $600M Ohio RIAThe RIA now has a total of 395 advisors across 53 offices with $46 billion in assets under advisement.
September 09, 2021
Jamie Hopkins' 10 Tips for Estate Planning Amid Legislative UnknownsFollowing a reliable process can help advisors pivot if estate taxes rise or the step-up in basis is scaled back, Hopkins says.
September 09, 2021
Don't Call Us an RIA. No Offense.There's nothing wrong with RIAs, but there's a new way to be an independent financial firm.
September 09, 2021
Riskalyze Expands Connected Trading: Tech RoundupAlso, Broadridge Fi360 Solutions introduces enhanced Decision Optimizer software for financial advisors.
September 09, 2021
More Than 9 in 10 CFPs Strongly Satisfied With Career Choice: SurveyThe CFP Board polled certificants about the value of the credential.
September 08, 2021
Alex. Brown Adds Advisors Managing Over $1B From Wells Fargo, AvanzaThe advisors join the Raymond James division's offices in Miami and New York as Alex. Brown continues to expand in those markets.