'Buckets of Money' Advisor Settles With SEC After Long Legal Battle
By Melanie Waddell | Allison BellRay Lucia Sr. can now reapply for association with registered entities, says a civil rights group involved with the settlement.
June 15, 2020
TD Ameritrade Launches Virtual M&A Matchmaker for RIAsJoel Bruckenstein of T3 tells ThinkAdvisor his views on the new platform.
June 13, 2020
IRS Posts Annuity Advisory Fee Letter Rulings With a TwistThe IRS showed a 1.5% annual fee cap in the old letter rulings. Officials have left the annual cap out of the new rulings.
June 12, 2020
Kitces: How Your Web Presence Helps Convert Referrals to ClientsClients referred to an RIA are going to look that advisor up online, so they better like what they find, he says.
June 11, 2020
How an Advisor Saved a Winemaker From Disappointing His WorkersKarin Alvarado of New Aspect Financial Services also tells ThinkAdvisor about helping a foster care facility avoid layoffs.
June 11, 2020
Why Community Connections Really Matter NowCommunities driven by values and beliefs can give advisors the support they need to elevate both personal and professional pursuits.
June 11, 2020
Why It's Time to Embrace Self-Managed TeamsWhen it comes to helping firms grow, the traditional performance management system is largely broken.
June 11, 2020
Now Is the Right Time to Start an RIA Firm, Industry Execs SayBut make sure you're doing it for the right reasons — not just to make more money, Morningstar's James Carney says.