Advisors
News updates, trends and analysis on financial advisors, investment advisors (RIAs), and financial planners (CFPs).
Schwab: Advisors 'Bullish' on Growth, but Barriers Remain for RIAs
By Jeff BermanNew forms of competition continue to represent the largest hurdle, according to the firm's latest Independent Advisor Outlook Study.
June 03, 2021
Ex-Cetera Rep Gets 5-Year Prison Sentence for Defrauding ClientsThe former broker had pleaded guilty to wire and bank fraud on Jan. 14.
June 03, 2021
Why Some Advisory Firms Struggle With RecruitingBNY Mellon Pershing's Christina Townsend talks to ThinkAdvisor about recruiting mistakes to avoid and how to boost diversity.
June 03, 2021
LPL Picks SmartAsset for Vendor Affinity Program: Tech RoundupAlso, Morgan Stanley teams with Microsoft, while RIA in a Box announces a new automated RIA communications archiving and review solution.
June 03, 2021
UBS Nabs $10.5B Advisor Team From J.P. Morgan Private BankThe six-person advisor team joins UBS Private Wealth Management in San Francisco.
June 03, 2021
Get Ready for a Rough Road Back to the OfficeAdvisors should hold off on in-person meetings with prospects for now, the business psychologist tells ThinkAdvisor.
June 02, 2021
10 Simple Phrases That Wow Any New ClientHere's how to reassure new clients and interested prospects that they're picking the right advisor.
June 02, 2021
Ex-LPL Rep Pleads Guilty to Wire Fraud and Identity TheftThe barred broker allegedly misappropriated about $2.9 million from clients, according to the SEC and DOJ.