Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
How Private Equity Impacts Indie Wealth Managers
By Alan MooreIndependent advisors want to focus on their firms' values and plans, but private equity's views may not allign with them.
July 22, 2025
Financial Advice Enhances Clients' Peace of Mind, Frees Up Time: VanguardA new survey from the giant asset manager comes as the firm has pushed further into the advising arena.
July 22, 2025
AI Will Be Ready to Manage Money in 5 Years: MITAI could also evolve to meet one of finance’s highest bars: the fiduciary standard, says Andrew Lo.
July 17, 2025
Ameriprise Affiliate Defamed Departing Advisor in Mass Email, Lawsuit SaysThe email left Armando Merino's clients "concerned" and "horrified," he alleges.
July 14, 2025
6 Ways Advisors Are Redefining RecruitmentWhile firms once led with eye-catching offers and signing bonuses, today’s advisors approach transitions with a different mindset.
July 14, 2025
Stifel Advisor Linked to $132M Arb Award Has Left the FirmArbitration awards and judgments involving Chuck Roberts exceed $166 million, his FINRA BrokerCheck record shows.
July 11, 2025
When a Client's Child Gets Married, It's Time to TalkPlanning around the happy day presents an opportunity to include adult children in the advisor-client relationship.
July 10, 2025
Merrill Ordered to Pay Clients Nearly $3.7M Over PE Investments“This is the largest FINRA customer award against Merrill Lynch this decade," the clients' lawyer said.