Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
GeoWealth Introduces New Advisor Service Center Features: Tech Roundup
By Jeff BermanAlso, Morgan Stanley selects eight startups for its latest Multicultural Innovation Lab program.
August 25, 2021
SEC Accuses Advisor of Running $110M Ponzi SchemeThe Marietta, Georgia, advisor was named in a complaint by the SEC, along with two entities he controls.
August 25, 2021
10 Things Advisors Should Do to Attract Young and DIY InvestorsPenny Phillips, Jamie Hopkins and others tell ThinkAdvisor how, and why, to add clients from these burgeoning groups.
August 24, 2021
Investors Demand More Diversified Products, Customized Advice: StudyInvestors want products that cut across wealth, insurance and banking and align with their values, Accenture found.
August 24, 2021
JPMorgan Settles With Advisors Who Jumped to LPL-Affiliated FirmThe temporary restraining order that J.P. Morgan Securities had obtained against the breakaway advisors has been lifted.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 24, 2021
How to Help Clients Draw Down Retirement Assets: Advisors' AdviceAdvisors tell us how they handle the transition into the decumulation phase of the client relationship.
August 24, 2021
LUMINARIES Class of 2021: Thought Leadership — Programs, Products & ServicesIn the Thought Leadership & Education category, we honor the organizational efforts driving the financial services industry forward.