Let’s hope that by skillful lobbying, thoughtful consideration or through sheer dumb luck, financial advisers can stay independent.
Advisers surveyed preferred that Republicans control Congress when it convenes in 2023 by a margin of 60% to 25%.
There’s a lot more than control of the House and Senate on the ballot in November, especially for Gary Gensler and the SEC.
Plano, Texas-based Valorous Advisors specializes in retirement plan consulting.
The limit on contributions to retirement savings account will rise by $2,000 to a maximum of $22,500 next year, reflecting the change in the consumer price index.
Raymond James Financial Services overlooked 'multiple red flags' related to the activities of two brokers, according to Finra.
Smaller RIA sellers are driving the pace of deals toward another record year, according to Devoe & Co.'s report on third-quarter activity.
The RIA says a vote by the shareholders of the SPAC, Cartesian Growth Corp., to approve the deal has been scheduled for next month.
Decades-high inflation prompted an unusually big tweak for 2023, and as a result, employees can expect to see less tax withheld from paychecks as soon as January.
DPL Financial Partners’ $20 million in additional capital, Ethic Investing’s $50 million Series C round, and the demise of UBS’ deal for Wealthfront are among the highlights of this month's roundup.
There's some chance that members of both parties will want to open private markets to more ordinary investors.
The Federal Trade Commission says older Americans lost $147 million in 2021, up 213% from 2020, with crypto rip-offs being a leading culprit.
The father-son adviser team operate as Thannisch Wealth Management of Raymond James in Austin, Texas.
Only 22% of those surveyed are confident in their ability to generate a retirement income strategy if left to their own devices, with the majority worried they'll run out of money in retirement.
Frank Smith, an LPL veteran who's the firm's current president, will succeed Moore as chief executive in mid-January.
Garrett Elder and his Tycoon Trading firm also ordered to pay $7.4 million in restitution for issuing and selling unregistered securities.
Industry veteran Daniel Gourvitch steps into the new role with the charge of building out the Mercer platform to attract more advisers.
In the 2022 tax form draft instructions, the agency explicitly says that digital assets include NFTs and virtual currencies.
The sale does not include Securian's pension risk transfer and institutional retirement businesses.
Almost half of high-net-worth individuals are so worried about retirement security that they avoid thinking about it all together.
