7 Tips for Advisors Planning to Break Away
By Victoria ZhuangThe growing independent RIA space includes both entrepreneurial younger advisors and those within sight of retirement.
March 27, 2024
New SEC Risk Alert Warns of T+1 TransitionExaminers will review whether and how RIAs have evaluated the impact of the settlement cycle change on their businesses.
March 27, 2024
SEC Updates Rules for Robo-AdvisorsThe changes better reflect the digital marketplace in 2024, said Gary Gensler, the agency's chairman.
March 20, 2024
LPL Merges Two Investment Management ProgramsLPL's Strategic Asset Management program is no longer a wrap-fee program.
March 18, 2024
Nationwide Offers Advisors Morningstar Tools for Plan Sponsor ClientsNationwide now offers Morningstar's advisor managed accounts service to advisors with employer retirement-plan clients.
March 18, 2024
SEC's Texting Crackdown Rages On, With RIAs Likely NextStand-alone penalties against investment advisory firms are coming, two former SEC attorneys say.
March 18, 2024
BBVA Opens Miami Advisory for Wealthy Latin American ClientsThe Spanish bank already offers international wealth services in Spain and Switzerland.
March 13, 2024
CFP Board to Publish Disciplinary Records of Some New CFPsPublic notice will be sent as a news release as part of the Board's change to its sanction guidelines.