Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
8 Ways to Be Gracious When Prospects Don't Meet Your Minimum
By John ManganaroNot everyone will make a good client today, but there are good reasons to leave the door open.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Are You Playing It Too Safe With Clients' Investments?Advisors are systemically investing more conservatively than would be implied by clients' stated risk tolerance, new research suggests.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 09, 2023
Latest LPL Service for Advisors: Partial Book SalesAdvisors who need a quick way to reduce the size of their practices can now shift clients to LPL Financial.
February 09, 2023
Calls Grow for IRS to Address Secure 2.0 Error Threatening Catch-Up ContributionsRetirement industry groups say the IRS should issue temporary clarifying guidance as Congress might not act quickly enough.
February 09, 2023
Build, Buy or Partner: What's the Best Way for Advisors to Scale?DeVoe & Co.'s Doug Johnson and Alera Group's Tina Hohman discuss how to provide the services clients demand.
February 09, 2023
Asset-Map Closes on $6M Funding Round: Tech RoundupAlso, Conquest Financial's planning tech platform raised $18 million from firms including Fidelity, BNY Mellon and RBC.