Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
The Real Reasons Clients Pay Advisors
By Lou HarveyTwo principles underlie successful advisors: Provide useful knowledge and help the client avoid mistakes.
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
FINRA Bars Ex-Royal Alliance Rep Accused of Misappropriating Client's FundsThe former broker at the Advisor Group-owned firm also allegedly refused to provide documents and info requested by FINRA, the self-regulating group said.
July 08, 2021
Want to Avoid Taxes the Peter Thiel Way? Don't Even TryFrom fees to severe penalties for missteps, a self-directed retirement account is something most savers should steer clear of.
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
Firm Culture, Leadership Are Female Advisors' Biggest Hurdles: StudyResearch from Carson Group and Hidden Insights Group reveals the main challenges women face in pursuing this career.
July 07, 2021
Kitces: The Big Problem With 'Risk Tolerance'The amount of risk a client is able to take doesn't always align with the risk they're willing to take, he says.
July 07, 2021
Advisor Group Adds Kimmell From RBC to Head Business DevelopmentShe will oversee recruitment, transitions and onboarding across Advisor Group's network of six firms.