Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Small RIAs vs. 'Meta-Acquirers': Who Has the Advantage?
By Janet LevauxDavid DeVoe and Brian Hamburger debate the influence of RIA consolidators, private equity, asset managers and insurers.
September 09, 2022
Ex-LPL Rep Pleads Guilty to Witness Tampering, FraudThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.
September 09, 2022
Former E-Trade CEO Tapped to Lead VestmarkKarl Roessner replaces Mike Blundin, who is now president and COO.
September 08, 2022
How Advisors Can Help Clients With a Terminal IllnessProper planning done compassionately can save these clients a lot of angst, advisor and physician Carolyn McClanahan says.
September 08, 2022
Cetera Is First Client for Broadridge's New Offering: Tech RoundupAlso, Morgan Stanley at Work rolls out Corporate Retirement Portal for advisors.
September 07, 2022
Orion Realigns OperationsThe company is placing a greater focus on its Advisor Tech, OCIO and TAMP segments, it says.
September 07, 2022
Oppenheimer Fights $37M Arb Ruling Tied to Ponzi SchemeA FINRA panel said the BD must pay damages to investors allegedly bilked in a scheme run by a former rep.
September 06, 2022
UBS-Wealthfront Deal Puzzled Many From the StartThe $1.4 billion deal was "doomed from the get-go," Nexus Strategy CEO Tim Welsh says.