Advisor News

Displaying 26787 results
No fun: A vacation-home sale can raise Medicare premiums
RETIREMENT PLANNING JAN 22, 2020
No fun: A vacation-home sale can raise Medicare premiums

A one-time income hike triggers a temporary high-income surcharge

By Mary Beth Franklin
2020 brings new opportunities in the retirement space
OPINION JAN 22, 2020
2020 brings new opportunities in the retirement space

The SECURE Act’s pooled employer plans provision will create a new market for investment advisory services

By David N. Levine and Kevin L. Walsh
Mature fintechs, not startups, get bulk of funding and acquisition deals: Deloitte report
FINTECH JAN 21, 2020
Mature fintechs, not startups, get bulk of funding and acquisition deals: Deloitte report

Fintech firms that are at least five years old are receiving more funding and are being acquired more often

By Ryan W. Neal
Coaching clients to teach their kids about investing
OPINION JAN 21, 2020
Coaching clients to teach their kids about investing

Less than half of parents let their kids make real financial decisions, and that’s a problem

By Sarah Newcomb
All-woman team managing $335 million at Morgan Stanley moves to Janney
PRACTICE MANAGEMENT JAN 21, 2020
All-woman team managing $335 million at Morgan Stanley moves to Janney

The five-person Dupre Keating Group joins offices in Pennsylvania and Delaware

By InvestmentNews
Duo managing $194 million moves from UBS to Raymond James
INDEPENDENT BROKER DEALERS JAN 21, 2020
Duo managing $194 million moves from UBS to Raymond James

James Ducharme, Michael Rowland join firm’s employee unit in Melbourne, Florida

By InvestmentNews
UBS hires $10.8 billion team as net new client money in U.S. slides
WIREHOUSES JAN 21, 2020
UBS hires $10.8 billion team as net new client money in U.S. slides

The Swiss bank snags Wickham Cash Partners in Charlotte; reports $9 billion decline in net new money in Americas in Q4

By Bruce Kelly
Why retirement plan adviser RFPs are critical to participant success
OPINION JAN 21, 2020
Why retirement plan adviser RFPs are critical to participant success

And why it’s not happening

By Fred Barstein
Embrace the SECURE Act’s opportunity to educate
RETIREMENT PLANNING JAN 21, 2020
Embrace the SECURE Act’s opportunity to educate

RIAs should be prepared to provide extra guidance

By InvestmentNews
Finra names Jessica Hopper head of enforcement
REGULATION AND LEGISLATION JAN 17, 2020
Finra names Jessica Hopper head of enforcement

The longtime Finra official served as acting enforcement chief since September

By Mark Schoeff Jr.
Put podcasting on the to-do list for 2020
FINTECH JAN 17, 2020
Put podcasting on the to-do list for 2020

The trick is knowing your message and finding your voice.

By Jeff Benjamin
Finra fines Prudential $1M over sloppy retirement-plan information
RETIREMENT PLANNING JAN 17, 2020
Finra fines Prudential $1M over sloppy retirement-plan information

Regulator says flawed communications left plan participants in dark about investment costs

By Mark Schoeff Jr.
3 big themes for RIAs in 2020
OPINION JAN 17, 2020
3 big themes for RIAs in 2020

David Canter of Fidelity talks about where the independent adviser is heading as we embark on a new decade

By InvestmentNews
Lawmakers demand FTC investigate Envestnet Yodlee for selling consumer financial data
FINTECH JAN 17, 2020
Lawmakers demand FTC investigate Envestnet Yodlee for selling consumer financial data

The data aggregator maintains it is in compliance with laws, regulations and best practices on data security and privacy

By Ryan W. Neal
Real AI at work for advisers
FINTECH JAN 17, 2020
Real AI at work for advisers

Three firms where artificial intelligence is helping with financial planning

By Ryan W. Neal
Cryptocurrency trading platform introduces SMAs for digital assets
ALTERNATIVES JAN 16, 2020
Cryptocurrency trading platform introduces SMAs for digital assets

SFOX hopes the SMA platform will help more financial advisers manage cryptocurrency assets on behalf of clients

By Ryan W. Neal
SEC Commissioner leaving next month
PRACTICE MANAGEMENT JAN 16, 2020
SEC Commissioner leaving next month

Robert Jackson Jr. to return to teaching at NYU Law School

By Bloomberg
Regulators crack down on teacher pension plans rife with conflicts
RETIREMENT PLANNING JAN 16, 2020
Regulators crack down on teacher pension plans rife with conflicts

Experts: Recent Delaware settlement a sign of things to come

By Mark Schoeff Jr.
Morgan Stanley eyes 1 million wealth management clients from stock plans
WIREHOUSES JAN 16, 2020
Morgan Stanley eyes 1 million wealth management clients from stock plans

Technology push at Morgan Stanley comes into focus after Solium Capital acquisition

By Bruce Kelly
Nir Kaissar: BlackRock muddies the social-investing waters
OPINION JAN 16, 2020
Nir Kaissar: BlackRock muddies the social-investing waters

The giant money manager is taking a misguided approach to climate change

By Bloomberg