Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Morgan Stanley Loses FINRA Arb Case on Botched Options Trading
By Jeff BermanA client alleged the wirehouse was negligent and failed to supervise when trading of Tesla options wasn't executed properly by a rep.
October 15, 2021
Baird Makes Private Wealth Leadership ChangesPWM named a new president to replace Mike Schroeder, who is being promoted to the new role of division chairman.
October 15, 2021
Charitable Giving Advice Linked to More Assets, Faster Growth: FidelityAdvisors who offer charitable planning have better client relationships in a number of quantifiable ways, research finds.
October 15, 2021
Ron Carson: Why Adding the Right Clients Beats Adding More ClientsCarson Group execs Ron Carson and Paul West discuss how to screen out prospects who aren't worth it, even when they're worth a lot.
October 15, 2021
5 First-of-Their-Kind SEC Enforcement ActionsRecent actions include one involving crowdfunding and one involving securities using decentralized finance, or DeFi, technology.
October 14, 2021
SEC Set to Allow Bitcoin Futures ETFs as Deadline LoomsThe regulator isn't likely to block the products from starting to trade next week, said people familiar with the matter.
October 14, 2021
Schwab: Record-Breaking RIA Deal Volume Feels Like 'New Normal'Schwab interviewed buyers and sellers on what makes an RIA deal successful; Fidelity also released data.
October 14, 2021
How Millennials, Gen Xers View Wealth DifferentlyAside from their views on wealth, the two generations have different expectations of advisors, Spectrem found.