Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
5 Steps for Advisors to Get Started With Charitable Planning
By Ken NoparSome advisors have not engaged their clients, or would like to become more active. Here's how to start.
September 02, 2022
FINRA Hits Baird Over $100 Trading CommissionsThe firm was ordered to pay $416,000 for charging a $100 minimum commission even on small trades, FINRA says.
September 02, 2022
Schwab Teams With CFP Board on New Scholarship to Boost DiversityThe Charles Schwab Foundation CFP Certification Scholarship is part of Schwab Advisor Services' ongoing diversity efforts.
September 01, 2022
Ex-Merrill Rep Settles Smoothie Lawsuit for $7,500James Iannazzo's lawyer called the settlement a "token payment."
September 01, 2022
The Key to Financial Planning That Most Clients Miss, According to an AdvisorAdvisor and author Steve Lynch reveals what he thinks is the most productive way to view money.
September 01, 2022
Goldman Closes on NextCapital Purchase: Tech RoundupAlso, Goldman Sachs finalizes its purchase of robo-advisor NextCapital Group.
August 31, 2022
6 Tips for Advisors When Talking Fees With ClientsAdvisors often make the fee conversation more awkward and complicated than it should be, Kitces and others say.
August 31, 2022
Income for Life: Strategies to Avoid Running Out of Money in RetirementFrom emergency savings to annuities to tontines, there are plenty of tools for creating an income stream that lasts.