Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
SEC Charges Ex-Janney Rep With Running $9.6M Market Manipulation Scheme
By Jeff BermanThe former broker allegedly used 18 securities accounts at 14 brokerage firms to artificially influence the market prices of 2,000-plus securities.
November 22, 2021
4 Warning Signs Investors Aren't Happy With Their AdvisorsWe noticed shifting investor behavior and did a study to find out why. Here's how advisors can adapt.
November 22, 2021
Ric Edelman: This Asset Class Is 'the Best Investment Opportunity' Since the InternetThe industry VIP also shares details on his plans for 2022 and a list of the many books he's reading.
November 19, 2021
FINRA: Ex-Edward Jones Rep Made Over 800 Unauthorized TradesFINRA suspended and fined the former broker, saying he also falsely identified himself as a senior vice president of a clearing firm.
November 19, 2021
How Advisors Can Keep Up With Tax Changes: Jeff LevineThe CPA and planner is widely followed for his breakdowns of crucial tax and retirement legislation. He told us how he does it.
November 18, 2021
Top 20 RIA Wealth Management Firms of 2021RIA Database ranked firms with clean regulatory records that primarily serve individuals.
November 18, 2021
David Blanchett: More Retirees Are Shunning RolloversMore retirees are keeping assets in workplace plans longer, and that has implications for advisors, Blanchett says.
November 18, 2021
Envestnet Adds Structured Products, Teaming With Goldman Spinoff: Tech RoundupAlso, Goldman Sachs Advisor Solutions picks InspereX's BondNav as fixed income market tech for independent RIAs.