Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying Taxes
By Jeff BermanJames Millegan concealed millions of dollars from the IRS, according to court documents.
November 14, 2022
No Client Exodus From Crypto After FTX Collapse, Advisors SayWhile some clients are looking to exit crypto, many remain committed and seek safer storage, advisors said.
November 14, 2022
FINRA Bars Ex-Morgan Stanley Rep Who Steered Clients to Outside InvestmentsThe ex-broker recommended unapproved outside real estate investments to clients, FINRA said.
November 12, 2022
Meet the Winners of the Excell Women in Wealth Management AwardsMeanwhile, Carson Group said nearly 90% of poll respondents believe women in the industry face barriers that men are less likely to deal with.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 11, 2022
Pros, Cons of Envestnet's Move Into the RIA Custody Space"The challenge is that custody is a low margin business, so it requires tremendous scale," Joel Bruckenstein said.
November 11, 2022
Don't Get 'Too Fancy' When Protecting Portfolios From Inflation: Finke"I have a very, very good inflation hedge in my human capital," David Blanchett said.
November 11, 2022
3 Military Values That Drive Success in Wealth ManagementVeterans who pursue a wealth management career find it aligns with many of the experiences and values learned in military service.