Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
The New Rollover Rule Is Here: Are You Complying?
By Thomas D. GiachettiFinancial advisors and their firms must now adhere to these key requirements affecting retirement-plan rollover recommendations.
July 26, 2022
Captrust Adds $4B RIA Based in MissouriThe acquisition is the first Captrust's closed in 2022 and the 57th firm to join it since 2006.
July 26, 2022
UBS Says It's Part of Probe Into Unapproved Staff MessagingRegulators are set to levy $1 billion in fines on the biggest banks for failing to monitor employees' use of unauthorized messaging apps.
July 25, 2022
Death of Roe v. Wade Is Causing Financial Pain, a Doctor and Advisor SaysWomen denied abortions often have reduced earning potential for life, former ER physician Carolyn McClanahan tells ThinkAdvisor.
July 25, 2022
12 Fastest-Growing RIAs in the U.S.: 2022SmartAsset looked at growth in AUM and the number of client accounts at more than 700 firms.
July 25, 2022
Former LPL Strategist Ryan Detrick Joins Carson GroupDetrick left LPL Financial in June.
July 25, 2022
5 Questions to Ask Now About Client EngagementHere's what to look at if your firm wants to spend less time on mundane administrative tasks and have more time for clients.
July 25, 2022
Ed Slott, Ian Berger Explain 2 Good Reasons to Do a Reverse RolloverOne reason: Reverse rollovers help clients avoid being hit by the pro rata rule when doing backdoor Roth conversions.