Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Ex-Cetera Broker Gets $3M in Damages for Wrongful Termination
By Jeff BermanIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.
April 28, 2022
Why RIA Advisors Are Better Fund Pickers Than BD Reps: StudyDual registrants act more like BD advisors when selecting funds, mainly basing decisions on past performance, David Blanchett says.
April 28, 2022
Most HNW Advisors Still Unfamiliar With Direct Indexing: SurveyYet these advisors embrace the strategy's most valued benefits: tax management and customized exposures.
April 28, 2022
RBC Clearing Launches New Tech Platform for RIAs, BDs: Tech RoundupAlso, AI-powered prospecting solution Catchlight integrates with Redtail.
April 28, 2022
Onyx Subscription Service for Minority Advisors to Launch May 9Members get a bundled tech stack and discounted access to service providers for a monthly fee.
April 28, 2022
LUMINARIES 2022 Nomination Deadline ExtendedIndividual and firm nominations for these pioneering industry awards will be accepted online through May 6, and there is no cost to participate.
April 27, 2022
Ex-Schwab Exec: Wirehouses, Banks Are Challenging RIAsBig firms have adopted more RIA-like offerings; meanwhile, breakaways have gotten smarter, Rob Farmer tells ThinkAdvisor.
April 27, 2022
Bob Doll's 10 Predictions for the Rest of 2022We're in a "tug of war between earnings tailwinds and valuation headwinds," Doll says.