Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Schwab Sets Date for TD Ameritrade Platform Conversion
By Jeff BermanSchwab's Tom Bradley also said most TD Ameritrade advisors will be able to keep their service team.
October 28, 2022
Execs Blast SEC's RIA Outsourcing Rule Plan as 'Solution in Search of a Problem'Forcing new vetting requirements on RIAs would be unnecessary and would increase costs, execs including Riskalyze's Aaron Klein said.
October 27, 2022
Time to Retire the 4% Rule, Retirement Pros SayThe rule was meant to be a guideline, not a real plan, David Blanchett, David Lau and Shannon Stone say.
October 27, 2022
Envestnet, FNZ Partner on Wealth Platform: Tech RoundupIn addition, Orion Advisor Solutions launched Redtail Campaigns, a CRM-centric advisor marketing suite.
October 27, 2022
Ex-Securities America Broker Charged With Defrauding Clients of $260KThe barred broker allegedly used the funds to pay off credit cards and gamble at multiple casinos.
October 27, 2022
Why Fixed Indexed Annuities Are BackWith the big jump in bond yields, advisors need to reevaluate the best retirement income strategies for clients.
October 26, 2022
New SEC Plan Says RIAs Must Vet Third-Party ServicesThe SEC doesn't recognize "how little leverage firms have over many service providers," says IAA's Karen Barr.
October 26, 2022
This Trait Makes You a Better Investor: Barry Ritholtz"Recognizing how little you actually know is a superpower," Barry Ritholtz wrote.