Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
11 Phrases That Make Clients Feel Important
By Bryce SandersWhat would your clients say if another advisor asked them, "Does your advisor think you're important?"
December 22, 2021
Thrivent's Carolyn Armitage: The Resolution Advisors Should Make for 2022The Thrivent Advisor Network head is providing Thrivent's new independent RIA with strategic guidance.
December 22, 2021
5 Big Shifts That Will Reshape Wealth Planning in 2022 and Beyond: Northern TrustThe pandemic's impact will be felt long after it's declared over. Here's what advisors can expect.
December 22, 2021
FINRA Fines Merrill $950K for Failing to Red-Flag Reps Stealing From ClientsTwo of the firm's reps stole over $6 million from 13 clients in separate schemes that ran for several years, according to FINRA.
December 21, 2021
FINRA Orders Advisor Group, LPL, MML, UBS, Wells Fargo to Pay $9.5M Over 529 PlansFINRA has been encouraging firms to self-report problems with 529 plan share class recommendations.
December 20, 2021
Boost Your Value by Seeing How Taxes Are Part of Every Financial DecisionA stong understanding and appreciation of how tax shifts apply to clients can add an extra dimension (and appeal) to your practice.
December 20, 2021
Schwab's Bernie Clark: RIA Growth 'Is Coming From All Directions'"Wherever you look, more advisory firms, including traditional brokerages, want to look more like RIAs," says the head of Schwab Advisor Services.
December 20, 2021
Wealthiest Americans Feel Relief as Tax Hikes Are Canceled for NowManchin's vote against Biden's economic plan means rich Americans escape tax hikes, saving hundreds of billions of dollars over the next decade.