SEC Floats Plans to Expand RIA Performance Fees, Accredited Investor Pool
By Melanie WaddellThe proposals are intended to broaden access to private markets.
September 30, 2026
SEC Censures, Fines Zoe Financial Over Alleged Conflicts of InterestThe referral service failed to fully disclose conflicts around a sub-advisory it operates, according to the agency.
September 30, 2026
Ameriprise Offers $1K to Advisors Who Transfer Clients to Virtual ServiceThe new incentive program, revealed in an updated Form ADV filing, is for the firm's Personal Wealth Group.
September 30, 2026
Putting Cash to Work Outside the Savings AccountFlourish helps RIAs locate and invest hidden cash while competing with wirehouses and traditional banks, exec Abby Domine says.
September 30, 2026
How to Help Couples With Big Age Gaps Plan for RetirementA longer horizon can have implications for asset allocation, Social Security, taxes and long-term care planning.
September 30, 2026
Senate Passes Social Security Claiming Clarity BillThe Claiming Age Clarity Act would require new terms to describe ages at which a worker may claim retirement benefits.
September 30, 2026
7 Steps to Take When a Prospect Works With a Competitor"I already have an advisor" doesn't automatically mean "go away."
September 29, 2026
This Retirement Risk Could Eat the Great Wealth TransferLimiting investment risk in early retirement can backfire over a 40-year time horizon, a new paper warns.