Advisor News

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Mutual fund flips boost Morgan Stanley ETFs to $1B in assets
ETFS MAR 25, 2024
Mutual fund flips boost Morgan Stanley ETFs to $1B in assets

The firm did its first-ever conversions involving two Eaton Vance fixed-income funds.

By Bloomberg
Florida-or-bust retirement prevails
RETIREMENT PLANNING MAR 25, 2024
Florida-or-bust retirement prevails

Advisors help clients make sure they don’t experience both, as interest rates dip slightly and more homes go on the market.

By Emile Hallez
The bull run and your client’s retirement plan
RETIREMENT PLANNING MAR 25, 2024
The bull run and your client’s retirement plan

As stocks head higher, clients are seeing visions of early retirement. What should advisors be telling them?

By Gregg Greenberg
Ensuring alimony payments continue despite premature death
RETIREMENT PLANNING MAR 25, 2024
Ensuring alimony payments continue despite premature death

One of the most effective ways to secure alimony against the risk of premature death is through life insurance.

By Gabrielle Clemens
Gen Z will need help – are you ready?
RETIREMENT PLANNING MAR 25, 2024
Gen Z will need help – are you ready?

The mood and savings habits of Gen Z suggest a huge opportunity on the horizon.

By InvestmentNews
Clock is ticking for Cetera IPO
INDEPENDENT BROKER DEALERS MAR 25, 2024
Clock is ticking for Cetera IPO

If the brokerage is eyeing an IPO in the next five years, as sources say, it’s got a lot of work to do to get ready.

By Bruce Kelly
AI partnership takes aim at workers’ student debt
RETIREMENT PLANNING MAR 22, 2024
AI partnership takes aim at workers’ student debt

Workplace fintech and fiduciary retirement plan provider team up to help more plan sponsors and participants with student loan matching solutions.

By Leo Almazora
Empower unveils comprehensive retirement income suite
RETIREMENT PLANNING MAR 22, 2024
Empower unveils comprehensive retirement income suite

The DC plan provider is rolling out an expansive shelf of retirement solutions through multiple partnerships.

By Leo Almazora
The Ohtani situation is a reminder about athletes and money
PRACTICE MANAGEMENT MAR 22, 2024
The Ohtani situation is a reminder about athletes and money

Advisors caution professional athletes to hire teams and give associates limited access to their accounts.

By Emile Hallez
Principal on the hook for up to $5M related to alleged churning
INDEPENDENT BROKER DEALERS MAR 22, 2024
Principal on the hook for up to $5M related to alleged churning

A Minnesota-based foundation's lawsuit against the firm centers on an unnamed ex-broker's alleged churning of variable annuities.

By Bruce Kelly
SEI launches multicustody capability for US wealth platform
FINTECH MAR 22, 2024
SEI launches multicustody capability for US wealth platform

The latest upgrade to platform gives an integrated view of clients’ financial picture, including held-away assets.

By Leo Almazora
House panel pushes repeal of DOL independent contractor rule
REGULATION AND LEGISLATION MAR 22, 2024
House panel pushes repeal of DOL independent contractor rule

Committee votes 21-13 to undo the contentious DOL regulation, paving the way for the measure to be considered by the full House.

By Leo Almazora
Investing in precious metals may not be so safe, regulators warn
ALTERNATIVES MAR 21, 2024
Investing in precious metals may not be so safe, regulators warn

Joint effort by CFTC, NASAA and Finra flags risks and potential fraud, including common falsehoods and scams aimed at IRA investors.

By Leo Almazora
Finra bars former ETrade employee
INDEPENDENT BROKER DEALERS MAR 21, 2024
Finra bars former ETrade employee

The former rep refused to cooperate with an investigation alleging that he transferred funds from a client account without authorization

By Leo Almazora
Betterment adds mutual funds for custom portfolio builders
FINTECH MAR 21, 2024
Betterment adds mutual funds for custom portfolio builders

The wealth tech provider is revamping its RIA custody offering for advisors by adding thousands of mutual funds.

By Leo Almazora
All kinds of B-Ds, not just the giants, are making deals
INDEPENDENT BROKER DEALERS MAR 21, 2024
All kinds of B-Ds, not just the giants, are making deals

'Those offers from smaller firms don’t always get as high as those from the bigger players, but they are pretty darn close,' says a recruiter.

By Bruce Kelly
Social Security backs off tough stance on recouping overpayments
RETIREMENT PLANNING MAR 21, 2024
Social Security backs off tough stance on recouping overpayments

Commissioner Martin O'Malley, in his early days on the job, said that practices will change next week.

By Emile Hallez
LPL expands in Louisiana with Osaic advisor
INDEPENDENT BROKER DEALERS MAR 21, 2024
LPL expands in Louisiana with Osaic advisor

The Lafayette-based advisor, who founded his firm in 1984, manages $150 million.

By Leo Almazora
Raymond James signs $300M trio from UBS
INDEPENDENT BROKER DEALERS MAR 21, 2024
Raymond James signs $300M trio from UBS

The firm is expanding its footprint in California as it scoops up another three advisors from UBS.

By Leo Almazora
Osaic adds $280M with father-daughter advisor duo
INDEPENDENT BROKER DEALERS MAR 21, 2024
Osaic adds $280M with father-daughter advisor duo

The firm is expanding its footprint in North Carolina and Maryland with a multigenerational advisory practice from Valic.

By Leo Almazora