Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
August 19, 2024
9 Questions to Ask Clients Before School StartsBack-to-school season is a great time to get clients talking about college and education-related costs.
August 19, 2024
Social Security Claiming: The Case of a Couple's Many ChoicesIt's essential for spouses with large differences in age and earnings, for instance, to coordinate their claiming choices carefully.
August 16, 2024
Complaint Accusing Advisor of Churning Retirees' Accounts DroppedIn the case, an RIA had been blamed for costing a couple over $800,000 through excessive and inappropriate trades.
August 16, 2024
What Advisors Need to Know About the Fiduciary RuleRegulatory uncertainty is real, but practice management efforts can help firms stay ahead of the game, legal experts say.
August 16, 2024
Here's When Many Americans 'Really' Plan to RetireCostly expenses and financial fears have many set to work well past traditional retirement age, a poll finds.
August 15, 2024
SEC Accuses Ex-Advisor of $300M Ponzi SchemeRussell Todd Burkhalter bought a luxury lifestyle with funds from over 2,000 investors, the agency alleges.
August 15, 2024
eMoney Expands Open API ProgramWealth firms can use the software for syncing and enriching client data, as well as for custom reporting.
August 14, 2024
SEC Slams LPL, Raymond James & 24 Other Firms With $393M in Off-Channel Messaging FinesAmeriprise, Edward Jones and Osaic were also fined for failing to retain messages sent on unauthorized channels, like WhatsApp.
August 14, 2024
Advisor Accused of Stealing Millions From Widowed Aunt, Former ExecScott Mason and his firm may have misappropriated money from several other investors, the widow's lawyer says.
August 14, 2024
$630M Advisor Team Joins Commonwealth From OsaicKrueger Financial Services has three advisors and is based in Tempe, Arizona.