Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
January 02, 2024
Wells Fargo Advisor's Mistake Caused Costly RMD Shortfall: LawsuitAn IRA trust fell short on RMDs, incurring big fines, based on an inaccurate birthdate, the lawsuit contends.
December 29, 2023
When Is the Right Time to Ask Clients About Writing a Will?A new report finds context matters a lot when it comes to this basic step in legacy planning.
December 29, 2023
Don't Forget This Important Planning Task for the New YearTaking some time now to plan for your business enables you to serve clients better.
December 29, 2023
The Biggest Gaps in RIAs Today: Joe DuranHere's what stands between midsize firms and the national market, according to the former United Capital CEO.
December 28, 2023
What's Next for ETFs in 2024: VettaFi's RosenbluthLook for continued growth in actively managed solutions in the investment space, the researcher says.
December 28, 2023
What Top Market Strategists Are Predicting for 2024Carson's Ryan Detrick, Frontier's Rob Miller and Hightower's Zach Christopher weigh in on stock and bond trends.
December 28, 2023
10 Tax Facts Advisors Should Know About Deferred CompensationThese potentially powerful savings vehicles for the highly paid are also highly complex.
December 28, 2023
Wall Street's Seismic Shift Propels Dallas Ahead of Chicago, LAFinancial and investment analysts, though, average $102,000 a year in Texas, 30% less than the going rate in New York.
December 28, 2023
LPL Fined $5.5M for Transaction Supervision IssuesThe broker-dealer also will pay $650,000 in restitution plus interest to 125 clients affected by its failures from 2012 to 2019.
December 28, 2023
On Stage: The LUMINARIES 2023 Awards CeremonyWe spotlight this year's winners, who came dressed to impress for the recognition event at New York's Gotham Hall.