Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Fidelity Integrates With Salesforce AppExchange: Tech Roundup
By Jeff BermanAlso, Envestnet's Dani Fava joins diversity-tech platform developer Choir's board of advisors.
September 21, 2022
Advisor Charged With Securities Fraud in Insider Trading SchemeAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 21, 2022
More RIAs Outsourcing Investment Management: SurveyAdvisory firms using outside investment managers are overwhelmingly satisfied with them, according to FlexShares.
September 21, 2022
How Advisors Can Get Ready for New SEC Marketing RuleHere's what to know about embracing new marketing channels compliantly.
September 21, 2022
New Raymond James Program Helps Advisors With the Wealthiest ClientsThe inaugural Private Wealth Advisor Program class will complete the six-month program this fall.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 19, 2022
Ex-Morgan Stanley Broker Pleads Guilty to $7M Ponzi SchemeShawn Edward Good bought at least five luxury cars with clients' money, according to prosecutors.
September 19, 2022
9 Lessons Advisors Can Learn From Queen Elizabeth IIThe popular, long-reigning monarch had many habits and traits that advisors can emulate.