Despite the difficulty of the conversation, clients are most often receptive to planning for health problems later in life, including diminished mental capacity.
Two clients complained to LPL about annuity contracts that differed from the ones they agreed to purchase, according to the regulator.
The long-delayed report, which is due every year no later than April 1, is expected this week and should highlight the pandemic's impact on program funding.
Great advisers with good tools were unable to prevent far too many investors from making emotional decisions amid the March 2020 market volatility.
On Thursday, the asset manager's shares had plunged as much as 14.2% on the news that Germany’s financial markets regulator, BaFin, and U.S. prosecutors were probing claims by a former sustainability executive that DWS overstated the amount of assets adhering to social and environmental criteria.
The robo-adviser allows users to choose between six types of portfolios using exchange-traded funds that are curated by investment experts.
The agency issued a wide-ranging request for comment on how online brokerages use game-like features and other tools to attract investors.
Being on video caused workers to become disengaged and participate less than if they spent the meeting off-camera, a recent study found.
The average expense ratio on funds last year was less than half of what it was in 2000, according to Morningstar's annual study of fund fees.
John and Ryan Birkhauser and their team are based in Lake Forest, Illinois.
My happiest client thinks I’m a true investment genius. My unhappiest is, of course, no longer my client.
The deal for Ellwood, which oversees $85 billion in assets, will expand Captrust's services for endowments and foundations.
Only about a third of U.S. savers are even aware that they pay fees on their retirement plans, a new report from the GAO found.
This month's #AdviserTech roundup includes Vanguard’s move into direct indexing, Vestwell’s $70 million capital round, and Simon Markets’ additional funding for its marketplace of risk-hedged investment solutions for advisers.
There are more than 40 national record keepers, with plenty of capacity for all. And some providers are uniquely positioned.
Gary Gensler calls consumer advocate Roper 'a champion for investors'; she has worked for 35 years at the Consumer Federation of America.
The company recently announced partnerships with Stadion and vWise for its Goals Optimization Engine.
The firm’s leadership team, employee base and brand will all remain unchanged, according to CEO Aaron Klein. The deal is a part of a larger strategy to increase growth and innovation at the firm.
Federal court freezes the assets of Marietta, Georgia, registered investment adviser John Woods.
The two advisers are affiliating with LPL Financial through its service for breakaway brokers.
