Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
How Opening a Morgan Stanley Account Led to a Fraud Arrest
By Dinah Wisenberg BrinThe firm alerted authorities after a Georgia man tried to deposit $32.5 million into a brokerage account, prosecutors allege.
April 04, 2025
Josh Brown: It's Not Time to Buy the DipClients who want to take gains should be careful to avoid tax liability, the Ritholtz Wealth CEO says.
April 03, 2025
Peter Mallouk: Market Is 'Far From Blood in the Streets'Stocks would be down 20% today if investors believed tariffs would last beyond a year, Creative Planning's CEO says.
March 28, 2025
'Naming and Shaming' Discourages Advisor Misconduct: StudyNew research found that firms with high misconduct rates cleaned up their acts after their names were published.
March 26, 2025
UBS Delays Advisor Pay Cut From 12b-1 FeesThe delayed cuts are separate from other compensation changes UBS made this year.
March 20, 2025
Best & Worst Firms for Investor Satisfaction: J.D. Power, 2025A quarter of DIY investors are likely to seek professional advice in the next year, the research group finds.
March 04, 2025
Citi Copy-Paste Error Almost Sent $6B to Wealth AccountThe error occurred in the same month that the bank accidentally credited $81 trillion to a different client.
March 03, 2025
4 Pillars to Start Planning Your ExitIf 2025 is the year to switch firms, it’s time to determine how to ensure a smooth transition.