Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Samantha Russell: 5 Ways to Show, Not Tell, What's Happening in the Market
By Jeff BermanThese steps could help advisors turn the market downturn into a "marketing upturn," the advisor marketing expert says.
October 13, 2022
Schwab Pilots New Broadridge Proxy Polling Solution: Tech RoundupAlso, Lori Hardwick was appointed chair of Docupace's board of directors.
October 13, 2022
Raymond James Picks Up $2.9B Baird TeamReston, Virginia-based Wise Investor Group joined Raymond James & Associates, the firm's employee advisor channel.
October 12, 2022
8 Hard Market Challenges for the Rest of 2022When stock and bond bears roar together, it creates tricky challenges for advisors and investors, Integrated Financial Partners CIO Rob Brown says.
October 12, 2022
Ex-RIA Comptroller in Father-Daughter Ponzi Scheme Gets 6-Year SentenceThe former comptroller's father, an ex-Securities America broker, was previously sentenced to 13 years in prison.
October 12, 2022
Peter Mallouk: 4 Ways Investors Burn Themselves in Bear Markets"Bear markets are hard enough to get through without getting in your own way," Creative Planning CEO Peter Mallouk tweeted.
October 12, 2022
Joe Duran: What Investors Need From Financial Planners During Tough TimesInvestors are seeking "financial clarity and control," the Goldman Sachs Personal Financial Management head says.
October 12, 2022
FINRA Issues First Reg BI-Related FineA sanctioned ex-broker recommended trades that were "excessive in light of the customer's investment profile," FINRA said.