Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Jamie Dimon Boosts JPMorgan Wealth Advisors' Pay From Windsor Castle
By Hannah Levitt and Sridhar NatarajanThe bank is revamping its 20-year-old pay structure for J.P. Morgan Advisors as it aims to double the unit's headcount.
October 18, 2021
Morgan Stanley Loses FINRA Arb Case on Botched Options TradingA client alleged the wirehouse was negligent and failed to supervise when trading of Tesla options wasn't executed properly by a rep.
October 18, 2021
Advisor Group Unveils Enhanced Tech, Including Express OnboardingThe firm also launched a newly designed Advisor Business Hub portal and an upgraded CRM platform.
October 15, 2021
Hightower to Take a Stake in $700M Georgia RIAThe RIA aggregator is making an unspecified strategic investment in Bluerock Wealth Management.
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.