Benz, Kitces Debate Advisor Investment Accountability
By Jeff Berman"Who's there to oversee these active investment choices that advisors are making?" Morningstar's Christine Benz asks.
July 13, 2021
BlackRock Boosts SMA Capabilities With Stake in SpiderRock AdvisorsSpiderRock's strategies, available through RIA custodians, are focused on risk management and yield enhancement.
July 12, 2021
11 Dreams to Motivate Your Client to InvestWhether it's helping family, leaving a legacy or buying a beach house, having a concrete goal can help your clients save and invest more.
July 09, 2021
Securities America to Pay $1.75M for Failing to Protect Clients From Ponzi SchemeAn independent RIA was able to take $8 million from at least 15 clients of the Advisor Group subsidiary, the SEC says.
July 08, 2021
Merrill Faces Discrimination Suit by Black Ex-RepsTwo former Merrill brokers allege Black advisors at the firm received less compensation and were promoted less often than white advisors.
July 08, 2021
LPL Advisor Charged in Hit-and-Run DeathThe LPL broker and advisor allegedly struck a 41-year-old man with his car and then fled on foot.
July 08, 2021
When Your Team Is Overwhelmed, Hit ResetHere's how to keep your firm moving while the world seems to be pushing against you.
July 08, 2021
Wealth Enhancement Group Nabs $1.04B RIA in Los AngelesThe transaction is the firm's second Southern California acquisition, following Pillar Pacific in June.