Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Judge Throws Out RIA's Poaching Suit Against Cambridge
By Jeff BermanColonial River Wealth Advisors alleged the BD helped an advisor poach back her clients after selling the firm.
July 27, 2023
Retirement Plan and Wealth Manager Silos Are Fading Fast: Jamie Hopkins"It's been a huge shift, and we believe there is ... much opportunity ... if you have the right approach," says the Carson Group executive.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
LPL Taps New Exec From GoogleAlthea Brown will join the firm in September, replacing Chief Legal Officer Michelle Oroschakoff, who is retiring this fall.
July 27, 2023
AdvicePay Names New CEOAlex Sauickie succeeds co-founder Alan Moore; he is a veteran fintech exec and a New Jersey assemblyman.
July 27, 2023
Why a 2024 Social Security COLA Under 4% Would Be Good News: MunnellThis would be much lower than previous years but reflects the fact that inflation is finally moderating.
July 27, 2023
Dynasty Adds Ron Insana as Chief Market StrategistThe finance journalist and ex-hedge fund manager will be a spokesperson for Dynasty on investment, economic and related topics.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.