Advisor News

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RETIREMENT PLANNING JUN 02, 2016
Plan to keep working into your 70s? You're not alone

More Americans with jobs say they plan on being septuagenarian employees, but working longer has its drawbacks.

By Bloomberg
RETIREMENT PLANNING JUN 02, 2016
How credit access affects your job search

The more access to credit unemployed people have, the choosier they are about the jobs they take. But is that a good thing?

By Bloomberg
Lawsuit against DOL fiduciary rule could delay implementation indefinitely
REGULATION AND LEGISLATION JUN 02, 2016
Lawsuit against DOL fiduciary rule could delay implementation indefinitely

The lawsuit may push the rule to the next presidential administration, which could ultimately kill the rule.

By Peter Chepucavage
Digital advice is poised to become the apple of asset managers' eyes
FINTECH JUN 02, 2016
Digital advice is poised to become the apple of asset managers' eyes

DOL's rule accelerates an opportunity for these firms to wrap products into advice-driven online platforms.

By Alessandra Malito
OPINION JUN 02, 2016
Help more women succeed as financial planners

Encouraging more women to join the industry would go a long way toward addressing the looming talent gap and better reflect the marketplace we serve.

By Kate Healy
Lynn Tilton's challenge to SEC hearings rejected by appeals court
REGULATION AND LEGISLATION JUN 01, 2016
Lynn Tilton's challenge to SEC hearings rejected by appeals court

Fund manager sued last year over allegedly mismarking loans.

By Bloomberg
EQUITIES JUN 01, 2016
Don't fear the robo: Some millennials like working with human financial advisers

<i>Breakfast with Benjamin</i> New research suggests that some tech-crazy millennial investors are moving beyond the robos to work closely with human financial advisers.

By Jeff Benjamin
OPINION JUN 01, 2016
3 apps to help advisers stay on task while traveling

These tools have helped Morningstar's Sheryl Rowling stay on top of business while traveling abroad.

By Sheryl Rowling
Retirees need 70% of income, but most live on less
RETIREMENT PLANNING JUN 01, 2016
Retirees need 70% of income, but most live on less

Plus, new research also identifies in which states retirees fare best and worst.

By John Waggoner
Err on the side of caution with DOL fiduciary rule, Phyllis Borzi advises
PRACTICE MANAGEMENT JUN 01, 2016
Err on the side of caution with DOL fiduciary rule, Phyllis Borzi advises

New regulation has broad reach, so when in doubt, use the best interest contract exemption, assistant secretary says.

By Liz Skinner
OPINION JUN 01, 2016
This $120 investment could make a huge difference for a financial adviser's practice

Morningstar's Sheryl Rowling is amazed at how quickly her computer now boots up and programs open up instantly.

By Sheryl Rowling
Excessive-fee suit targeting $9 million 401(k) plan could be 'harbinger' for industry
RETIREMENT PLANNING MAY 31, 2016
Excessive-fee suit targeting $9 million 401(k) plan could be 'harbinger' for industry

Lawsuit is perhaps the first example targeting small retirement plans.

By Greg Iacurci
Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says
RIA NEWS MAY 31, 2016
Massachusetts investment adviser Gregg Caplitz sentenced to prison for fraud, SEC says

He pitched a fictitious hedge fund to investors and used their money for his personal benefit

By Christine Idzelis
RIA NEWS MAY 29, 2016
Top questions independent advisers can ask to win overlooked clients from the wirehouses

Wall Street firms' outsized account minimums are sending a negative message to retail investors. Let the wirehouses' losses be your gains.

By Steven Dudash and Alex Papadopoulos
INDEPENDENT BROKER DEALERS MAY 29, 2016
Raymond James' $17M fine over anti-money-laundering failures should be a wake-up call

In the wake of Raymond James' $17M fine, it's time advisers take regulators' focus on this issue seriously, as rules are only going to get stricter.

By MFXFeeder
RETIREMENT PLANNING MAY 29, 2016
To pay income taxes now or later, that is the IRA question

Answers are related to an individual's current and expected future tax circumstances.

By John M. Davis
RETIREMENT PLANNING MAY 29, 2016
Retiree medical expenses could outpace Social Security benefits in 20 years

Your clients could be under saving for their real retirement income needs.

By Mary Beth Franklin
EQUITIES MAY 27, 2016
Small-cap stocks gaining momentum while rates stay low

<i>Breakfast with Benjamin</i> Small caps have started to outperform, and it might be connected to the Fed's downward revision on 2016 rate hikes.

By Jeff Benjamin
ALTERNATIVES MAY 27, 2016
Returns are big, but the jury is still out on lawsuit investing

In addition to risks and returns, advisers need to worry about moral and ethical issues

By Jeff Benjamin
FINTECH MAY 27, 2016
Next hot thing in 529 college savings plans? Robo-advice

Report says digital advice platforms in these tax-advantaged accounts will attract a new type of investor.

By Liz Skinner