October 25, 2021
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Featured News
Managing your clients’ expectations around Social Security
Don’t let clients sabotage their retirement plans because of fears about the program’s finances. Advisers can help clients put trust fund solvency woes into perspective.
Advisers beware: Bitcoin futures ETFs are a game-changer
Advisers who have been steering clear of digital currencies need to study up and be prepared to talk their clients through the pros and cons of this asset class.
Succession planning is essential
Advisers that put off planning for the future leave themselves open to unnecessary risks when they should be relishing the fruits of their labor.
Schwab on track to begin TD account transitions
The process of switching investment accounts from one firm to the another is one of the most anxiety producing events in the work life of a financial adviser.
BlackRock’s Fink puts private equity on the front burner
CEO Larry Fink said access to private equity should increase and allocations should be in the 20% range, while speaking at the Charles Schwab Impact conference.
The demise of Worden Capital signals danger for investors and harm to the industry
Unpaid arbitration awards have been a consistent stain on the retail securities industry. Brokers have been walking away from paying investors for years.
CI Financial adds Seattle office with $3.4 billion in assets
The purchase of the Seattle-based McCutchen Group will push the Canadian aggregator of registered investment advisers to more than $85 billion in US wealth management assets.
Should celebrity profiles be considered investment advice?
Investing apps allow investors to trade securities and share those strategies with like-minded traders. Regulators may need to consider whether they're also providing investment advice.