Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
When a Client's Child Gets Married, It's Time to Talk
By Dinah Wisenberg BrinPlanning around the happy day presents an opportunity to include adult children in the advisor-client relationship.
July 09, 2025
Jefferies Advisor in Miami Barred by FINRAThe former wealth advisor refused to provide the regulator with information it had requested.
July 08, 2025
12 States With the Most Potential AUM per AdvisorSeven states have more than $100 million in prospective assets available per advisor, SmartAsset reported.
June 26, 2025
Training Program for New Advisors Tops 2,000Amplified Planning’s 2025 Externship program has 2,078 enrollees; over 42% are women.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.
June 16, 2025
Wells Fargo Revises Rules on Internal FiNet TransfersFirms in the indie channel must hire one outside advisor meeting a revenue target for each transfer, says Terrana Group's Samantha Sferas.
June 10, 2025
Fired Edward Jones Advisor Wins a Cleanup of His RecordThe explanation for Matthew Hawk's dismissal on his Form U-5 was defamatory, a FINRA arbitrator ruled.
June 06, 2025
SEC Says Advisor Defrauded Clients on FeesDavid A. Nagler and his firm allegedly overcharged clients and levied "consulting" fees without their knowledge.