Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Number of CFP Exam-Takers Sets New High
By Melanie WaddellThe pass rate for the November exam was 62% with the second-largest number of people taking it.
November 20, 2024
Morgan Stanley: Advisor Who Left for Raymond James Solicited Another Rep's ClientsNicholas Takahashi's team solicited clients they'd had no personal interactions with, the wirehouse says in a court document.
November 20, 2024
Fidelity Resolves Reg BI Suit With Fired AdvisorMichael Maeker had accused Fidelity of pressuring advisors to recommend unsuitable, higher-fee investment products.
November 11, 2024
Advisors Want Seamless Digital Experience With Asset Managers: J.D. PowerNext to returns, advisors look for ease of doing business in choosing asset managers, a recent study found.
November 07, 2024
5 Strategies for Capturing Wealthy ClientsBeing proactive in meeting the sophisticated needs of affluent investors should lead to stronger, more resilient practices.
November 07, 2024
What's at Stake in the Ameriprise-LPL Fight Over Client DataAmeriprise accuses LPL of encouraging recruits to abscond with client data; LPL says Ameriprise aims to restrict competition.
November 06, 2024
Should Clients Change Advisors When They Retire?Advisors who are experts at helping clients accumulate wealth may lack knowledge about the retirement income phase.
November 06, 2024
What Trump's Win Means for Estate Tax PlanningOne tax expert from Kitces.com says it's now quite likely that the current estate tax exemption will be extended.