State regulators secure $4.4 million from two broker-dealers over unreasonable charges on small-dollar retail equity trades.
New F&G survey finds most pre-retirees are delaying or redesigning retirement, creating fresh planning opportunities for financial advisors.
Focus Partners Wealth’s Jeffrey Levine says a Democratic House or Senate would make new legislation on Trump Accounts much harder to pass.
Docupace also rebuilt its wealth operations platform around a single client record, while Focus Financial picks Nevis to bring AI to its advisors.
Consolidators handled 53% of deals through September as smaller sellers stalled amid market volatility, DeVoe & Company finds.
Shook Research has a new name and brand, Veritant, and will continue its coveted rankings of financial advisors.
Principals reportedly took millions more in pay than disclosed
The Supernova-powered lending line follows a Flourish Cash rollout as the insurer pushes private-bank-style tools to its 6,000-plus advisors
New Escalent research finds younger, more diverse DC plan participants are open to rollovers - but increasingly prefer outside firms.
UBS finds millionaire investors are more optimistic than before 2024 but are actively repositioning portfolios ahead of November 3.
Auto-enrollment has landed for 60 million children, but Baird planning director says key questions on rollovers and Roth conversions remain open.
Learn why DC plan advisors are considering private assets to help fund decades-long retirements.
MyComplianceOffice's AI-assisted surveillance links employee chats on Slack and Telegram with prediction market trades as Wall Street tightens rules
Elsewhere, Raymond James absorbs a family-run practice from Commonwealth into its independent channel, while RBC welcomes a father-son tandem formerly from UBS.
Fuel-driven inflation drove the supersized adjustment, but advocates say retirees are still losing ground as trust fund insolvency nears.
State mandates and plan complexity are opening doors for financial advisors in the 401 market.
New LIMRA data reveal a stubborn advice gap that financial professionals are well-positioned to close.
“Today’s actions send a clear message that even the biggest financial institutions are not above the law,” said Treasury Secretary Scott Bessent.
To build a truly self-sustaining practice, enterprising advisors have to start with a vision of what they want to be – and accept the realities that come with building toward it.
Serial acquirers add a 35-year-old Oregon wealth manager and a New York practice focused on women navigating life transitions.
