Lawyer Breaks Down SEC's Sweep of Advisors' Texts
By Melanie WaddellThe SEC is requiring that firms retain business communications but hasn't defined what that means.
April 25, 2023
Here's the Question You Must Ask Before Starting an RIAThinkAdvisor LUMINARIES honoree Matt Sonnen helps RIAs build and execute winning growth strategies.
April 24, 2023
Has RIA Dealmaking Plateaued?Though still high by historical standards, M&A activity hit its first six-month downturn in years, DeVoe reported.
April 24, 2023
Cetera Lured Advisors With Nearly $3B in Assets in Q1The achievement came after the firm reported adding $13 billion in assets through organic recruiting in 2022.
April 21, 2023
Kitces: 4 Trends Reshaping Financial AdviceThese trends are forcing advisors to refocus on their client experience, the popular blogger says.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 18, 2023
LPL Picks Up $3.1B Firm From TD AmeritradeLPL now supports over 21,000 financial advisors, including advisors at about 1,100 enterprises and at about 500 RIAs.
April 13, 2023
Does Reg BI Mean the Death of Broker-Dealers?For advisors, the issue going forward is if they stay away from transaction-based products in favor of a strictly fee-based approach.