Advisor News

Displaying 28309 results
FINTECH JUN 01, 2018
Schwab taps Andrew Salesky to lead adviser technology

He replaces Ed Obuchowski, who left in April

By Ryan W. Neal
FINTECH JUN 01, 2018
Some social media advice never goes out of style

Why Roseanne Barr might wish she found my columns before she lost her way on Twitter.

By Scott Kleinberg
FINTECH JUN 01, 2018
Heard of Chalice? It's being called Amazon Prime for financial advisers

'We're trying to build an online digital marketplace,' says founder Keith Gregg.

By Jeff Benjamin
RETIREMENT PLANNING JUN 01, 2018
Why changes to the kiddie tax are a 'big deal'

The law uses the tax rates applying to trusts and estates, rather than parents' income, to determine the tax on children's investment income.

By Greg Iacurci
REGULATION, LEGAL & COMPLIANCE JUN 01, 2018
5th Circuit mandate to vacate DOL fiduciary rule 'still pending'

Observers can't tell why the regulation is still on death watch and not actually dead.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 31, 2018
Blackstone woos wealthy with tax-free hedge fund

Tax-free status reflects fact that investments are held in an insurance vehicle.

By Bloomberg
REGULATION, LEGAL & COMPLIANCE MAY 31, 2018
Wells Fargo customers saddled with fake accounts to get about $35 each in $142 million settlement

Judge: 'There's no doubt this is an imperfect solution, but what's the alternative?'

By Bloomberg
RETIREMENT PLANNING MAY 31, 2018
Advisers can learn a lesson from Costco

Investors fare better when they're presented with a few curated, low-cost options.

By John Waggoner
REGULATION, LEGAL & COMPLIANCE MAY 31, 2018
SEC charges former Long Island broker with $8 million scam

Steven Pagartanis promised investments in a land development company.

By Bloomberg
REGULATION, LEGAL & COMPLIANCE MAY 31, 2018
Interest groups split on delaying comments for SEC advice proposals

Consumer, adviser advocates want to see results of investor testing first, but SIFMA says stick with original Aug. 7 deadline.

By Mark Schoeff Jr.
REGULATION, LEGAL & COMPLIANCE MAY 31, 2018
Tax law: Why changes to the kiddie tax are a 'big deal' for advisers

The law uses the tax rates applying to trusts and estates, rather than parents' income, to determine the tax on children's investment income.

By Greg Iacurci
RETIREMENT PLANNING MAY 30, 2018
Legg Mason hopes to reverse TDF fortunes with MassMutual deal

The firm tried launching two different target-date series within the past decade, both of which closed after failing to gain much traction.

By Greg Iacurci
REGULATION, LEGAL & COMPLIANCE MAY 30, 2018
NY Attorney General Underwood files 99-count criminal indictment against investment adviser

Dean Mustaphalli is accused with fraud, grand larceny and forgery.

By Ryan W. Neal
Principal Financial acquires digital advice startup RobustWealth
FINTECH MAY 30, 2018
Principal Financial acquires digital advice startup RobustWealth

The deal improves Principal's technology offering and opens a distribution channel to independent advisers.

By Ryan W. Neal
REGULATION, LEGAL & COMPLIANCE MAY 30, 2018
Sen. Warren gets Republican cosponsor on bill to fund unpaid arbitration awards

Legislation requires Finra to establish a fund, financed by its own fine money, to cover amounts firms and brokers fail to pay.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 30, 2018
Death and taxes: A conversation we must have

It's time for advisers to make uncomfortable topics mainstream.

By Steve Gresham
RETIREMENT PLANNING MAY 29, 2018
Retirement plan sponsors tread lightly with capital preservation

No matter which option they choose, they risk getting hit with lawsuits.

By Robert Steyer
Participants' personal debt gains attention
RETIREMENT PLANNING MAY 29, 2018
Participants' personal debt gains attention

Sponsors see debt as major hurdle curbing retirement readiness.

By Meaghan Kilroy
OPINION MAY 29, 2018
TV show paints bleak picture of financial planners

The lead character in the series 'Ozark' is reinforcing Americans' negative view of advisers.

By Dan Candura
FINTECH MAY 29, 2018
Ladenburg partnering advisers with startups to accelerate tech innovation

Advisers hope to get ahead of any tech disruptors with Ladenburg lab.

By Ryan W. Neal