Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Dentist Turned Advisor Fined Over Fraudulent Offerings
By Jeff BermanThe advisor has agreed to pay $600,000 to settle allegations he engaged in three separate securities frauds, the SEC says.
June 10, 2021
This $59 Trillion Market Is Underserved by Advisors: StudyThese investors have relatively simple needs and are often shunted into standardized products, according to Boston Consulting group.
June 10, 2021
The Worst Career Advice You've Ever Gotten: Advisors' AdviceNot all career advice is worth following, as several advisors told us.
June 09, 2021
SEC Chief Calls for Review of Stock Trading RulesGensler has asked staff for recommendations on best execution, Regulation NMS, payment for order flow and NBBO.
June 09, 2021
Broadridge Buys Marketing Platform AdvisorStreamInitial opinions of fintech experts on the acquisition were decidedly mixed.
June 09, 2021
Kitces, Pershing CIO: Advisors Should Use Tech to Offer Better Advice"Our industry really is in the midst of just a huge evolutionary shift," Kitces said during Pershing's Insite conference.
June 08, 2021
10 Tax Facts to Know About Marriage and Blended FamiliesHow marriage, remarriage and divorce can affect your clients' tax, retirement and estate planning.
June 08, 2021
Schwab: Advisors 'Bullish' on Growth, but Barriers Remain for RIAsNew forms of competition continue to represent the largest hurdle, according to the firm's latest Independent Advisor Outlook Study.