Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 Exam
By Jeff BermanThe ex-broker and compliance officer for a firm in Texas allegedly wrote test information on his driver's license, fingers and forearm.
December 20, 2021
Manchin Outlines Tax, Policy Changes He Wants in Biden BillThe senator wants a revised bill that deeply overhauls the tax code to make it fairer and lowers the cost of more prescription drugs.
December 20, 2021
SEC Commissioner Roisman to DepartHis exit will expand the Democrats' majority at the agency, which is now led by Gary Gensler.
December 20, 2021
How U.S. Economy Loses After Manchin-Powell PivotsHere's what the derailing of President Joe Biden's $1.75 trillion spending plan, and other factors, mean for GDP growth in 2022.
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.