Advisor News

Displaying 26697 results
AI will only elevate the human touch, says Orion CEO
FINTECH AUG 02, 2024
AI will only elevate the human touch, says Orion CEO

Natalie Wolfsen talks advisor input, AI, and the arrival of Gen Z.

By Chris Davis
eMoney revamps advisor UX with Decision Center updates
FINTECH AUG 02, 2024
eMoney revamps advisor UX with Decision Center updates

Fidelity's financial planning fintech has rolled out a slew of updates to empower greater collaboration between advisors and their clients.

By Leo Almazora
PreciseFP and Holistiplan link up to smooth advisors’ tax-data trifles
FINTECH AUG 01, 2024
PreciseFP and Holistiplan link up to smooth advisors’ tax-data trifles

The new fintech integration aims to streamline the data collection process for tax planning-focused advisors.

By Leo Almazora
Wells Fargo sued twice over cash sweep rates, LPL sued again
INDEPENDENT BROKER DEALERS AUG 01, 2024
Wells Fargo sued twice over cash sweep rates, LPL sued again

Impact of litigation will affect some business models going forward, source says.

By Emile Hallez
Raymond James swipes $245M advisor from LPL
INDEPENDENT BROKER DEALERS AUG 01, 2024
Raymond James swipes $245M advisor from LPL

The independent broker-dealer has bolstered its employee advisor unit with the latest addition in New York.

By Leo Almazora
GPB execs guilty on all fraud counts
INDEPENDENT BROKER DEALERS AUG 01, 2024
GPB execs guilty on all fraud counts

Jury finds Gentile and Schneider guilty on a total of eight counts after seven-week trial.

By Bruce Kelly
What the case against Andrew Left says about following finfluencers
REGULATION AND LEGISLATION JUL 31, 2024
What the case against Andrew Left says about following finfluencers

While Left allegedly manipulated stock prices, there is no shortage of questionable financial information out there that investors are eager to follow.

By Emile Hallez
Pershing hammered with $1.4M fine over variable-rate security errors
REGULATION AND LEGISLATION JUL 31, 2024
Pershing hammered with $1.4M fine over variable-rate security errors

Despite red flags, Finra says it failed to fix systemic reporting issues that led to over one million inaccurate account statements and trade confirmations.

By Leo Almazora
Most Americans agree Social Security can’t stay status quo
RETIREMENT PLANNING JUL 31, 2024
Most Americans agree Social Security can’t stay status quo

Research by Nationwide reveals almost three-quarters fear funds will run out before they die, while nearly four-fifths see a need for reform.

By Leo Almazora
Why clients really want to talk to their advisor about the weather
RETIREMENT PLANNING JUL 31, 2024
Why clients really want to talk to their advisor about the weather

Americans fear that natural disasters could devastate retirement savings.

By Steve Randall
DC plans crucial against retirement income shortfalls, says Morningstar report
RETIREMENT PLANNING JUL 30, 2024
DC plans crucial against retirement income shortfalls, says Morningstar report

New model finds most workers not in plans may not hit their retirement goals, with single females, Gen Xers, and Baby Boomers at greater risk.

By Leo Almazora
Ameriprise sued over sweep account rates
WIREHOUSES JUL 30, 2024
Ameriprise sued over sweep account rates

It's not like clients are being held hostage, says money market expert as yet another brokerage is accused of shortchanging customers.

By Emile Hallez
RISR and Journey Strategic Wealth arm advisors to business owners
FINTECH JUL 30, 2024
RISR and Journey Strategic Wealth arm advisors to business owners

The wealth tech firm’s latest strategic collaboration will help advisors bridge an industry-wide gap for entrepreneurial clients.

By Leo Almazora
SEC claims B-D, advisor violated Reg BI in GWG bond sales
ALTERNATIVES JUL 30, 2024
SEC claims B-D, advisor violated Reg BI in GWG bond sales

"This was not a systemic issue for us," says LifeMark Securities' CEO James Prisco.

By Bruce Kelly
Investing in advisors: The key to long-term success in wealth management
OPINION JUL 30, 2024
Investing in advisors: The key to long-term success in wealth management

CEO of fast-growing firm outlines four key steps to consider when investing in advisor talent.

By Shaun Hauser
intelliflo revs up its redblack trading solution
FINTECH JUL 30, 2024
intelliflo revs up its redblack trading solution

The wealth tech firm says its new institutional-caliber compliance engine will help users save time on a traditionally tedious task.

By Leo Almazora
GPB "not a Ponzi!" defense attorney claims
ALTERNATIVES JUL 30, 2024
GPB "not a Ponzi!" defense attorney claims

GPB executives Gentile and Schneider "are guilty as charged," says federal prosecutor.

By Bruce Kelly
Finra fines broker-dealer $475k over churning supervision failures
INDEPENDENT BROKER DEALERS JUL 29, 2024
Finra fines broker-dealer $475k over churning supervision failures

Firm dinged for flaccid response to red flags across 100 accounts, with nine accounts incurring more than $2.5M in excessive trading costs.

By Leo Almazora
Are military households more prepped for retirement?
RETIREMENT PLANNING JUL 29, 2024
Are military households more prepped for retirement?

Research hints veterans and their partners have done a better job strategizing for withdrawals, health expenses, and other retirement scenarios.

By Leo Almazora
Beware the investment banker when selling your firm
OPINION JUL 29, 2024
Beware the investment banker when selling your firm

Price is obviously important but should not be the main driver.

By Scott Hanson