Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
4 Ways to Make a Move — With Fewer Headaches
By Jamie BakerWhile switching firms is a major undertaking, the fear of what this process entails should not hold you back.
November 07, 2022
Kitces, Other Advisors Stunned by Rude Advisor Sanctioned by CFP Board"Wow, this was a wild ride," said Michael Kitces about David R. Nute, who told his prospective client that her reactions "tell me why your husband left you."
November 07, 2022
UBS Expands Into 'Brazilian Texas' to Reach Newly Minted MillionairesUBS has 1,300 employees, including 570 wealth advisors, dedicated to 50,000 Latin American private-banking clients.
November 07, 2022
3 Types of Advisors You Need on Your TeamClassifying individuals by these skills and work styles can help you identify the right financial advisors.
November 07, 2022
New SEC Marketing Rule: How to Use TestimonialsThe rule unlocks a broad range of new advertising avenues for advisors but comes with several compliance-related minefields.
November 04, 2022
Schwab to Start Next Phase of TD Ameritrade Conversion in JanuaryJanuary 2023 is when custodial agreements with advisors' firms will be executed, Schwab says.
November 04, 2022
Tax Loss Harvesting Is Easier With ETFs, but Beware the Wash Sale RuleClear communication with clients is essential, as the topic of tax loss harvesting can cause confusion and concern.
November 04, 2022
UBS Wealth Reshuffles Management in UHNW PushThe firm is also shifting more focus to Florida and Texas as more wealthy clients move there.