Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Going Indie Isn't as Scary as It Seems
By Matt ReganHaving a clear vision and taking these steps can help ease your way to setting up your firm.
November 23, 2021
The Best & Worst Mobile Apps for Wealth Management: J.D. Power, 2021Overall customer satisfaction with these apps rose nine points year over year to 858 on a 1,000-point scale.
November 23, 2021
2 Ways to Remove Alternatives' Mystique for ClientsDialogue around these products shouldn't be intimidating.
November 23, 2021
2021 News of the YearWe review the major developments affecting financial advisors — from Wall Street to Washington — over the past 12 months.
November 22, 2021
Top Advisor News of 2021Some of the most unfortunate developments in the advice industry this year included crime and alleged discrimination.
November 22, 2021
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation SchemeThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 22, 2021
Bogus Broker Who Threatened to Kill Disabled Client Gets 5-Plus Years Behind BarsGregg Brie admitted to embezzling funds from three victims, two of whom lived in his New York apartment complex.
November 22, 2021
Why BofA Is Bearish on Markets and Sees 'Rates Shock' Coming in '22Strategists also share recommendations, like taking long positions in certain sectors, the U.S. dollar and real assets.