Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
FINRA: Ex-Northwestern Mutual Rep Misused Funds Raised for Kids' Cancer Charity
By Jeff BermanFINRA barred the broker for allegedly sending donated funds to his own bank account instead of the charity they were supposed to go to.
November 16, 2021
AllianceBernstein Expands Offerings for AdvisorsThe firm has created a practice management consultant program with the Vanderbilt Owen Graduate School of Management.
November 16, 2021
Watch Out for These Crypto ScamsThe realm of digital assets is new, confusing, famous for making people rich — and often unregulated.
November 15, 2021
This Tax Break Can Save Ultra-Wealthy Clients MillionsThe qualified small-business stock capital gains exclusion can help founders and early-stage employees avoid taxes.
November 15, 2021
How Advisors Land Young, Wealthy Clients: Advisors' AdviceYoung, wealthy investors strongly prefer to manage their own investments. These advisors persuaded them to change their mind.
November 12, 2021
What's in an Investor's Best Interest? Depends on Who You Ask: Dalbar"Best interest" as defined by advisors is not in sync with investors' priorities, the analysis found.
November 12, 2021
The Big Retirement Risk Michael Finke Is Seeing NowThe American College professor talks about the datapoint that's flashing a warning to retirees and what advisors should do.
November 11, 2021
Schwab Asks Court to Dismiss Class-Action Suit Over Cash SweepsThe firm says the case should be dismissed "for lack of jurisdiction" and a "failure to state a claim on the merits."