Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
SEC Commissioner Roisman to Depart
By Bernice Napach | Jeff BermanHis exit will expand the Democrats' majority at the agency, which is now led by Gary Gensler.
December 17, 2021
Wealth Managers to Launch Onyx Platform for Minority AdvisorsRIA founders Dasarte Yarnway and Emlen Miles-Mattingly will launch the Onyx Advisor Network in January.
December 16, 2021
Dynasty's Shirl Penney: Clients Are Fleeing Banks and Brokerages, TooIn fact, they're flocking to the RIA space faster than advisors are, the Dynasty Financial Partners CEO tells ThinkAdvisor.
December 16, 2021
How to Discuss SRI, ESG and Impact Investing With Your ClientsSustainable and responsible investing is a polarizing topic.
December 16, 2021
Schwab to Give RIAs Access to T. Rowe Price Active Mutual Funds Without FeesAbout 120 institutional no-transaction-fee funds from T. Rowe will be available in February.
December 16, 2021
TD Ameritrade Enhances Thinkorswim: Tech RoundupAlso, Envestnet | Yodlee says it has significantly grown its open banking initiatives globally.
December 15, 2021
Wells Fargo Simplifies Comp Hurdles for 2022At the same time, the wirehouse has enhanced the bonus opportunities for its registered representatives.
December 15, 2021
Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in PrisonThe former broker scammed clients out of over $12 million as part of a real estate investment scheme.