Advisor News

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How to plan for buying or upgrading to new technology
FINTECH AUG 20, 2015
How to plan for buying or upgrading to new technology

It's not a question of when something wears out; it's a question of when it becomes outdated.

By Sheryl Rowling
RETIREMENT PLANNING AUG 19, 2015
Labor Department gets state-based auto-IRA rule plans together

Once approved by the Office of Management and Budget, a proposed rule is expected to be issued by the end of the year.

By Hazel Bradford
EBRI hires Mercer partner Conaway to replace Salisbury as CEO
RETIREMENT PLANNING AUG 19, 2015
EBRI hires Mercer partner Conaway to replace Salisbury as CEO

New executive will leave consulting firm at end of September; has been on benefits research firm's board for more than a decade.

By Rob Kozlowski
RETIREMENT PLANNING AUG 19, 2015
How you should react to the IRS data breach

The number of citizens exposed in the tax hack reportedly triples. What if you were a victim of the cyber-crime?

By Liz Skinner
Delaying Social Security may boost Medicare costs
RETIREMENT PLANNING AUG 19, 2015
Delaying Social Security may boost Medicare costs

Clients who elected to file and suspend their Social Security benefits will be hit with a big Medicare Part B increase next year but don't panic. Delaying is still a good strategy.

By Mary Beth Franklin
REGULATION AND LEGISLATION AUG 18, 2015
Latest sentencing in $1.2B Scott Rothstein Ponzi scheme

Michael Szafranski was the financial adviser to the scheme's mastermind, Scott Rothstein.

By Alessandra Malito
Third time lucky for ETF entrepreneur with cybersecurity fund
FINTECH AUG 18, 2015
Third time lucky for ETF entrepreneur with cybersecurity fund

Timing is key as fund, with the ticker symbol HACK, launched just before the Sony Pictures computer network was broken into.

By Bloomberg
Myths about the Investment Company Act on its 75th anniversary
OPINION AUG 18, 2015
Myths about the Investment Company Act on its 75th anniversary

It's time to set straight misconceptions about the law that regulates mutual funds and other investment companies.

By Matthew P. Fink
Then and now: A look back at Social Security's 80-year history
RETIREMENT PLANNING AUG 18, 2015
Then and now: A look back at Social Security's 80-year history

The program's anniversary underscores its crucial role in retirement security.

By Mary Beth Franklin
LPL sets lofty goal for more automated operations processes
FINTECH AUG 18, 2015
LPL sets lofty goal for more automated operations processes

The company aims to ramp up its level of automation from 15% to 85% within the next few years.

By Alessandra Malito
SEC alleges Boston adviser defrauded clients and lost over $12 million
PRACTICE MANAGEMENT AUG 18, 2015
SEC alleges Boston adviser defrauded clients and lost over $12 million

Interinvest founder hid his interests in penny stock companies he put clients in, agency says

By Liz Skinner
INDEPENDENT BROKER DEALERS AUG 18, 2015
Stifel deal for Barclays unit would amp up ambitions to attract elite advisers

An acquisition of Barclays' U.S. wealth unit would add $47 billion in assets and 249 advisers who focus on ultrahigh-net-worth clients, filling a gap in Stifel Financial CEO Ron Kruszewski's advisory business.

By Trevor Hunnicutt
Identity theft hits home
OPINION AUG 18, 2015
Identity theft hits home

Here's what one adviser did after her son had his identity stolen.

By Sheryl Rowling
RETIREMENT PLANNING AUG 17, 2015
Don't wait 'til year-end to focus on tax-management strategies

Take action now and proactively follow these tax tips rather than waiting until it's too late.

By Joyce Schnur
RETIREMENT PLANNING AUG 17, 2015
Eight ways to get your retirement finances in shape now

Here's how you can create a Plan B to relying on Social Security.

By Bloomberg
OPINION AUG 17, 2015
I'm a salesperson. You should be, too

Being able to persuade people to do what you really believe is in their best interests is very important

By Ron Carson
RETIREMENT PLANNING AUG 17, 2015
How wealthy young heirs are learning to buy art

Some parents or grandparents require heirs to take a financial education curriculum before telling them how wealthy they are and what they will inherit.

By Bloomberg
REGULATION AND LEGISLATION AUG 17, 2015
Senators seek tenfold increase in SEC penalties for fraudsters

Senators say legislation would act as a deterrent to fraudsters and particularly hamper repeat offenders, whose fines could triple.

By Mark Schoeff Jr.
Surviving change at warp speed
FINTECH AUG 17, 2015
Surviving change at warp speed

Digitization of our industry is not a choice. What is a choice is whether you are empowered by it or you are consumed by it.

By Joe Duran
Asset managers beat the bushes to woo reclusive family offices
RETIREMENT PLANNING AUG 17, 2015
Asset managers beat the bushes to woo reclusive family offices

They trot out celebrity executives, hold conferences and make sweetened investment offers to bring in private wealth to private equity.

By Bloomberg