Advisor News

Displaying 26710 results
Help your clients tackle college expenses
OPINION AUG 06, 2020
Help your clients tackle college expenses

Higher education is a source of worry for many parents, and one where advisers can provide assistance

By Kristine McManus
Senate committee approves SEC nominees Peirce, Crenshaw
REGULATION AND LEGISLATION AUG 05, 2020
Senate committee approves SEC nominees Peirce, Crenshaw

The pair now head to the Senate floor for a confirmation vote

By Mark Schoeff Jr.
Retirement worries keep rising: Reports
RETIREMENT PLANNING AUG 05, 2020
Retirement worries keep rising: Reports

There will be long-term financial fallout for some workers, and plan sponsors and advisers should be talking with them

By Emile Hallez
LPL to pay top dollar for employee reps and advisers
INDEPENDENT BROKER DEALERS AUG 05, 2020
LPL to pay top dollar for employee reps and advisers

The independent broker-dealer's new employee offer has a payout for the million dollar adviser of 60%

By Bruce Kelly
SEC proposes increasing transparency of mutual fund, ETF reports
ETFS AUG 05, 2020
SEC proposes increasing transparency of mutual fund, ETF reports

Regulation would require ‘concise, visually engaging’ shareholder reports that help investors understand fees, risks and performance

By Mark Schoeff Jr.
Envestnet Yodlee to launch client data analytics tool for advisers
FINTECH AUG 05, 2020
Envestnet Yodlee to launch client data analytics tool for advisers

Insight Solutions gives advisers access to additional client data points for a fee

By Nicole Casperson
Secure Act’s pooled employer plans a dramatic change for 401(k)s
RETIREMENT PLANNING AUG 05, 2020
Secure Act’s pooled employer plans a dramatic change for 401(k)s

The COVID-19 crisis will make some employers more open to PEPs, but the recent hit to the economy could mean slow uptake for those plans

By Fred Barstein
Growing your firm for the future
OPINION AUG 05, 2020
Growing your firm for the future

Hiring young advisers and sending them out to hunt for new clients usually doesn't work well. Try hunting for new clients yourself

By Scott Hanson
The role of cash in a portfolio
OPINION AUG 04, 2020
The role of cash in a portfolio

When markets turn volatile, cash provides clients with confidence that they can weather the storm

By Michael Halloran & Jon Henderson
Sawtooth eyes new capital to stay competitive in TAMP marketplace
FINTECH AUG 04, 2020
Sawtooth eyes new capital to stay competitive in TAMP marketplace

Potential partnerships include deals with other TAMPs or with a private equity firm, according to one source

By Nicole Casperson
Trade association pushes retirement savings provisions for next COVID relief bill
RETIREMENT PLANNING AUG 04, 2020
Trade association pushes retirement savings provisions for next COVID relief bill

The Insured Retirement Institute calls for raising RMD age, allowing catch-up retirement contributions

By Mark Schoeff Jr.
Princeton settles DC lawsuit for $5.8 million
RETIREMENT PLANNING AUG 04, 2020
Princeton settles DC lawsuit for $5.8 million

Plaintiffs in the class-action case alleged the school's retirement plans had high fees and poorly performing, restrictive investment options

By Emile Hallez
How fear stunts your growth and steals your time
OPINION AUG 04, 2020
How fear stunts your growth and steals your time

It's the invisible force holding us back from the more and better we want to be and achieve in our business and our lives

By Stephanie Bogan
FiNet team managing $300 million moves to Raymond James
INDEPENDENT BROKER DEALERS AUG 04, 2020
FiNet team managing $300 million moves to Raymond James

The six-adviser Uinta Wealth Management team is based in Salt Lake City

By InvestmentNews
Trio managing $1.05 billion joins UBS from Alex. Brown
INDEPENDENT BROKER DEALERS AUG 04, 2020
Trio managing $1.05 billion joins UBS from Alex. Brown

David Rosenthal, Stephen Collins and Daniel Rupp are based in Westport, Connecticut

By InvestmentNews
Retirees fare better than pre-retirees during pandemic
RETIREMENT PLANNING AUG 04, 2020
Retirees fare better than pre-retirees during pandemic

Millions of older Americans are providing financial support to adult children

By Mary Beth Franklin
Managing the gap between intentions and actions in the new retirement
OPINION AUG 04, 2020
Managing the gap between intentions and actions in the new retirement

Advisers should work with their clients to build upon the four pillars of retirement

By Ken Cella
House approves funding bill with provision to kill SEC's private markets proposal
RETIREMENT PLANNING AUG 03, 2020
House approves funding bill with provision to kill SEC's private markets proposal

Advocates for alternative investments oppose the provision, which is not likely to survive in the Senate

By Mark Schoeff Jr.
Merrill, Fidelity sign injunction over client data
PRACTICE MANAGEMENT AUG 03, 2020
Merrill, Fidelity sign injunction over client data

An adviser who recently left Fidelity allegedly used client data from his former job to contact prospects

By Emile Hallez
Potential legal pitfalls for advisers selling their firm
OPINION AUG 03, 2020
Potential legal pitfalls for advisers selling their firm

You think you're ready to choose a buyer, but there may be important deal elements that have not been addressed

By Nick Monaghan