Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Reg BI to Be 2025 SEC Exam Priority
By Melanie WaddellThe SEC is issuing more Risk Alerts and releasing its priorities early, the agency's exam director said Tuesday.
April 02, 2024
Ex-Advisor Sentenced to 4 Years in Prison for $4.7M EmbezzlementChristopher Turean used client funds to gamble and for a home equity loan, the Department of Justice said.
April 02, 2024
Elements to Offer Planning Tool to XYPN's Fee-Only AdvisorsThe partnership will provide XYPN advisors with a new resource for financial monitoring, says XYPN founder Michael Kitces.
April 02, 2024
Creative Planning Buys $2.2B Wealth Manager in TexasThe deal with Maxwell Locke & Ritter Wealth Management, based in the greater Austin area, includes 18 employees.
April 01, 2024
For High Earners, Roth Catch-Up Contributions Are TrickyUnder Secure Act 2.0, those making more than the threshold will soon have to direct such contributions to Roth accounts.
April 01, 2024
Social Security Claiming: The Case of Two Marriages, Two DivorcesMatters can get complicated when someone has multiple ex-spouses from unions that lasted more than 10 years.
April 01, 2024
How to Find the Right Asset Allocation for Your Retiring ClientTo plan for your client's unique needs, here's what to consider.
April 01, 2024
FBI Hunts Iowa Advisor Charged With $1.5M FraudWilliam Jack Berg, 51, is on the FBI's Most Wanted list for white-collar crimes.