Advisor News

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8 questions analysts should ask in the wake of BLM
OPINION SEP 23, 2020
8 questions analysts should ask in the wake of BLM

Hold companies accountable during this earnings season for their promises of racial equity

By Josh Levin
Trade groups join push for e-delivery of investment documents
PRACTICE MANAGEMENT SEP 22, 2020
Trade groups join push for e-delivery of investment documents

SIFMA, Investment Adviser Association, and others, are pushing the SEC to make electronic delivery the default option

By Mark Schoeff Jr.
Advisers unsatisfied with asset managers during pandemic: Survey
FINTECH SEP 22, 2020
Advisers unsatisfied with asset managers during pandemic: Survey

Advisers said they are looking for investment ideas, portfolio construction and marketing support

By Nicole Casperson
COVID-19 401(k) loans end with a fizzle
RETIREMENT PLANNING SEP 22, 2020
COVID-19 401(k) loans end with a fizzle

Workers were mostly uninterested in the expanded $100,000 loan limit, according to recently released data

By Emile Hallez
Wells Fargo duo managing $225 million launch LPL-affiliated hybrid
RIA NEWS SEP 22, 2020
Wells Fargo duo managing $225 million launch LPL-affiliated hybrid

Marc DeCicco and Tad Wilson started North Bend Wealth Management in Vienna, West Virginia

By InvestmentNews
Quit trying to time the markets
OPINION SEP 22, 2020
Quit trying to time the markets

Focusing on outsmarting the markets isn’t just detrimental to your clients, it can harm the value of your business

By Scott Hanson
RBG gave women the keys to financial security and freedom
OPINION SEP 22, 2020
RBG gave women the keys to financial security and freedom

Ginsburg fought for women to have equal access to financial tools like credit cards and mortgages

By Liz Skinner
What type of seller are you?
OPINION SEP 22, 2020
What type of seller are you?

Firm owners considering a sale should think about which category they fit into as they consider what to do next

By Scott Slater
How tech tools are expanding access to ESG investing
FINTECH SEP 21, 2020
How tech tools are expanding access to ESG investing

Experts from Charles Schwab, Merrill Lynch and Fidelity address how advisers can use digital tools to increase investor engagement

By Nicole Casperson
LPL cuts Morningstar reporting tool at more than two dozen offices
FINTECH SEP 21, 2020
LPL cuts Morningstar reporting tool at more than two dozen offices

The broker-dealer had concerns about oversight of client accounts while using the application

By Bruce Kelly
INmail: Step-up to larger spousal benefit is automatic
RETIREMENT PLANNING SEP 21, 2020
INmail: Step-up to larger spousal benefit is automatic

Although retirement benefits earn delayed credits for every year a worker postpones claiming them up until age 70, spousal benefits do not.

By Mary Beth Franklin
The new face of wealth advice: It's personalized
OPINION SEP 21, 2020
The new face of wealth advice: It's personalized

Technology is the key to delivering the recommendations and services each client wants

By Fred Duden
‘All trick and no treat.’ Mary Beth Franklin on the Social Security trust fund crisis
RETIREMENT PLANNING SEP 19, 2020
‘All trick and no treat.’ Mary Beth Franklin on the Social Security trust fund crisis

Mary Beth Franklin talks about the uncertainty around the Social Security trust fund and how advisers can help clients plan for that

By InvestmentNews
Tough week for Raymond James after tech outage
FINTECH SEP 18, 2020
Tough week for Raymond James after tech outage

The data snafu hit just days after announcing major staff layoffs

By Bruce Kelly
New Schlichter lawsuit targets MEP
RETIREMENT PLANNING SEP 18, 2020
New Schlichter lawsuit targets MEP

The prominent 401(k) litigation firm filed a class-action lawsuit this week against Pentegra Retirement Services

By Emile Hallez
Oppenheimer's tech stack gets a makeover with InvestCloud
FINTECH SEP 18, 2020
Oppenheimer's tech stack gets a makeover with InvestCloud

The broker-dealer tapped InvestCloud to speed up client onboarding and retention for the firm's 1,000 advisers

By Nicole Casperson
Scalia making hay in his time inside
PRACTICE MANAGEMENT SEP 18, 2020
Scalia making hay in his time inside

First he convinced the courts to throw out the fiduciary rule; now he’s crafted a new one as agency chief

By Emile Hallez and Mark Schoeff Jr.
Court orders asset manager to return $1 million to investors
REGULATION AND LEGISLATION SEP 18, 2020
Court orders asset manager to return $1 million to investors

SEC complaint alleges John Geraci knew of fraud when marketing his fund

By InvestmentNews
SEC charges former Transamerica rep with fraud
REGULATION AND LEGISLATION SEP 17, 2020
SEC charges former Transamerica rep with fraud

Scott Allen Fries of Cincinnati took $178,000 from clients and spent it on himself

By InvestmentNews
Future of financial planning takes emphasis off the assets
RIA NEWS SEP 17, 2020
Future of financial planning takes emphasis off the assets

Morningstar conference panel touts niche practices and the personal touch

By Jeff Benjamin