Advisor News

Displaying 26937 results
Target-date funds: Low fee doesn't equal low risk
OPINION OCT 04, 2023
Target-date funds: Low fee doesn't equal low risk

Three reasons why passive TDFs aren’t automatically the safer choice for DC plan fiduciaries

By Emily Cao
Independent alpha: Making the breakaway math add up
OPINION OCT 04, 2023
Independent alpha: Making the breakaway math add up

Advisors who make the move to independence are forgoing massive recruitment bonuses. How can they justify this leap?

By Louis Diamond
Millions of Americans face a retirement income shortfall, Vanguard research warns
RETIREMENT PLANNING OCT 04, 2023
Millions of Americans face a retirement income shortfall, Vanguard research warns

The gap between need and ability is highlighted in inaugural report.

By Steve Randall
SEC's 'cryptos are securities' court appeal denied
ALTERNATIVES OCT 04, 2023
SEC's 'cryptos are securities' court appeal denied

Regulator cannot challenge federal court judge’s ruling on Ripple Labs’ digital currency.

By Bloomberg
How to go from ethics awardee to $300K insider trading claims
REGULATION AND LEGISLATION OCT 04, 2023
How to go from ethics awardee to $300K insider trading claims

Goldman Sachs trader denies sharing tips with friends and family.

By Bloomberg
House bill to double HSA limits slammed as perk for wealthy
RETIREMENT PLANNING OCT 03, 2023
House bill to double HSA limits slammed as perk for wealthy

Opponents say the legislation would do little to help most people.

By Emile Hallez
Go big or go boutique?
OPINION OCT 03, 2023
Go big or go boutique?

Here are questions financial advisors should consider before making a move.

By Tarah Williams
Advisors increasingly rely on home office models, survey says
RIA NEWS OCT 02, 2023
Advisors increasingly rely on home office models, survey says

With more allocation tools at their disposals, advisors are focusing on planning and growing their businesses, Fuse finds.

By Emile Hallez
Massachusetts, Finra fine Fidelity $1.65 million, alleging lax standards for options trading
ALTERNATIVES OCT 02, 2023
Massachusetts, Finra fine Fidelity $1.65 million, alleging lax standards for options trading

Galvin cites Fidelity's “half-hearted and lackadaisical attitude” on approving clients to trade risky securities.

By Bruce Kelly
Retirement risks in the RIA world and how to manage them
RETIREMENT PLANNING OCT 02, 2023
Retirement risks in the RIA world and how to manage them

Experts discuss life expectancy and other retirement risks faced by advisors and their clients at a recent RIA LABs webinar.

By Josh Welsh
Team overseeing $1B jumps to LPL Financial
INDEPENDENT BROKER DEALERS OCT 02, 2023
Team overseeing $1B jumps to LPL Financial

The trio of advisors will operate as PB FAM Private Wealth in Atlanta.

By InvestmentNews
Portals are good for clients and for you, FPA study reveals
FINTECH OCT 02, 2023
Portals are good for clients and for you, FPA study reveals

Financial planners and the right tech can be a powerful combination.

By Steve Randall
As SEC delays approving spot bitcoin ETFs, ethereum futures get a nod
ALTERNATIVES SEP 29, 2023
As SEC delays approving spot bitcoin ETFs, ethereum futures get a nod

But advisors who want crypto ETFs are waiting for spot products, observers say.

By Emile Hallez
Morgan Stanley raising pay hurdle for its financial advisors in 2024
PRACTICE MANAGEMENT SEP 29, 2023
Morgan Stanley raising pay hurdle for its financial advisors in 2024

'It's a tug of war. The firms want to keep more revenue, and the financial advisors want to do the same,' an industry recruiter says.

By Bruce Kelly
Wall Street hit with latest wave of fines in SEC WhatsApp probe
FINTECH SEP 29, 2023
Wall Street hit with latest wave of fines in SEC WhatsApp probe

Ten firms, including Baird and Interactive Brokers, agreed to pay penalties totaling $79 million for employees' use of unmonitored communications channels on the job.

By Bloomberg
Annuities are changing the game for advisors
RIA NEWS SEP 29, 2023
Annuities are changing the game for advisors

Experts discuss the advantages of annuities and a handy tool for advisors at a recent webinar.

By Josh Welsh
More than 1 in 10 Gen Xers nearing retirement still burdened by student debt
RETIREMENT PLANNING SEP 29, 2023
More than 1 in 10 Gen Xers nearing retirement still burdened by student debt

Research reveals how burden could be impacting savings targets.

By Steve Randall
Bitcoin ETF review delayed again by SEC
ALTERNATIVES SEP 29, 2023
Bitcoin ETF review delayed again by SEC

The regulator has paused decisions ahead of a government shutdown.

By Bloomberg
Trump loses appeal of financial fraud case
REGULATION AND LEGISLATION SEP 28, 2023
Trump loses appeal of financial fraud case

The former president could be back in court as soon as this Monday, with Trump Tower at risk.

By Matthew Sellers
Gold IRA Ponzi paid for luxury cars, esports team, CFTC says
RETIREMENT PLANNING SEP 28, 2023
Gold IRA Ponzi paid for luxury cars, esports team, CFTC says

Regal Assets and its owners pilfered $21 million from clients, the CFTC and California DFPI allege.

By Emile Hallez