Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Fidelity Brokerage Says Former VP Took Client Info
By Dinah Wisenberg BrinAdam Ritter is misusing confidential information to solicit customers to his new firm, a lawsuit alleges.
August 04, 2025
Advisor to Lace Up for 24-Hour Hockey MarathonMitlin Financial founder Larry Sprung and one of his sons will participate to raise money for a suicide prevention group.
July 31, 2025
Eagles Team Up with JanneyThe two Philadelphia-based groups will focus on promoting conversations about the importance of financial planning.
July 30, 2025
Ex-Raymond James Advisor Barred Over Probe Tied to Elderly ClientsAfter 26 years in the business, Meredith Archer failed to testify about whether she misappropriated client assets.
July 28, 2025
FINRA Bars Ex-Northwestern Mutual Employee Over Faked Exam ScoreWillnard Love lied to his firm about passing the Securities Industry Essentials exam, the regulator found.
July 25, 2025
Advisor Charged With Conning Venezuelans, Others in $94M Ponzi SchemeSeparately, the SEC accused Andrew Jacobus of swindling clergy and Catholic groups of $3.2 million.
July 25, 2025
8 Ways to Talk Business With FriendsThey're far from strangers, so offering guidance risks affecting personal relationships — making it a prospecting challenge.
July 25, 2025
How Private Equity Impacts Indie Wealth ManagersIndependent advisors want to focus on their firms' values and plans, but private equity's views may not allign with them.