Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-LPL Rep Pleads Guilty to Stealing More Than $600K From Retired Client
By Jeff BermanThe broker transferred funds from his 73-year-old client's investment accounts to a joint bank account and withdrew most of it for his own use.
May 13, 2021
Atlanta RIA Homrich Berg Appoints New CFOJamie Hennessy will replace Tony Guinta at the end of May, the Atlanta-based RIA says.
May 12, 2021
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSIDOL's decision to withdraw the rule stands to increase costs for advisors and their firms, FSI's David Bellaire tells ThinkAdvisor.
May 10, 2021
Cetera Adds $2.4B RIA From MassMutualTotus Wealth Advisors has offices in Houston and the Woodlands, Texas, with plans to expand.
May 10, 2021
CI Financial to Buy $5.1B RIA in San DiegoThe Dowling & Yahnke acquisition will give CI its first San Diego location and is expected to more than double the Canadian firm's assets in Southern California.
May 08, 2021
Secure Act 2.0: A Gateway to 'Rothification' of Retirement?Advisor Jamie Cox says requiring Roth treatment of catch-up 401(k) contributions would be "the beginning of something bigger."
May 06, 2021
T3 and ScratchWorks Team Up for Fall Conferences: Tech RoundupMeanwhile, Fidelity model portfolios are now available via JPMorgan's 55ip tax-smart investment strategy platform.
May 06, 2021
Cadaret Grant Adds $2B OSJThe Ohio-based Cedar Brook Group, which has 20 licensed financial professionals, has joined the Atria subsidiary.