Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
UBS to Pay $25M SEC Penalty Over Complex Options Strategy
By Matt RobinsonUBS advisors sold the Yield Enhancement Strategy even though some didn't understand the risks themselves, regulators say.
June 28, 2022
10 Ways to Find Business This Summer"Sell in May and go away" is not helpful advice when you want to grow your business.
June 28, 2022
Burt White: 'Volatility Is a Fee Worth Paying'The Carson Group executive tells ThinkAdvisor he expects not just a "soft landing" but a possible second-half rally.
June 28, 2022
Ritholtz-Affiliated VC Fund Invests in RIA Software PlatformThe Compound Capital Fund I has taken an unspecified stake in SmartRIA, a compliance software platform.
June 28, 2022
Tyrone Ross Left Onramp Over 'Co-Founder Drama.' Here's What He's Doing Next.Ross tells ThinkAdvisor about leaving Onramp, his new RIA and tech startup, and why he's still a "crypto hippie."
June 28, 2022
5 Ways Life Insurance Can Boost Clients' Retirement PlansIt's a Secure Act-friendly estate planning tool. But that's not all, David Blanchett, Michael Finke and Dennis Martin say.
June 27, 2022
Ron Rhoades Makes 5 Predictions for the Future of AdviceAmong them: Flat fees will gain ground, and RIAs will expand the annuity market.
June 27, 2022
Next 2 Court Dates Set for Suspect in BofA Exec Michelle Avan's KillingAnthony Duwayne Turner is charged with felony murder and first-degree residential burglary in the death of his former girlfriend and colleague.