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Guiding pre-retirees through the emotional transition to retirement
Carson Wealth's Jason Juhl is tapping his retired clients to mentor those clients moving toward the 'next chapter.'
Counseling young lawyers on cash flow management
L.J. Jones found his niche by observing the challenges faced by his wife and her law school classmates.
CFP Board hits three advisers with suspension
One adviser faces charges of dealing in child pornography, according to the Certified Financial Planner Board of Standards Inc.
Wealthy clients mostly avoid new taxes as spending bill nears finish line
Legislation that last year contained a litany of taxes on high earners has been whittled down to a bill with a few corporate tax provisions.
Matthew Boersen elected chair-elect of CFP Board
The Grand Rapids, Michigan, planner will serve a one-year term and become chair of the board in 2024.
CFP Board launches scholarship in honor of LeCount R. Davis
Recognizing first Black CFP, the $5,000 award aims to help more Black and African Americans earn the certification.
State Street report shows inflation, recession driving investor angst
Research shows that younger investors are most bullish about being able to get back on track toward saving for retirement.
Compensation for top trade association execs
InvestmentNews combed through the tax forms of groups in the financial services space to learn what their CEOs earn, as well as other financial metrics.
Outsourcing can increase firms’ scale and efficiency
Wise advisers are exploring options to offload tasks that aren't a high-value activity for them or duties that they don't particularly enjoy.
The time is now to be more transparent about advisory fees
Advisers charging fees based on client assets are feeling a rare pinch of lower income against the backdrop of inflation. Now would be a good time to make that clear.
Ex-LPL adviser accused of racism claims firm defamed her in lawsuit
The adviser, Eileen Cure, filed suit in federal court in Texas seeking $95 million in damages
Alts are rockin’ the house!
Demand for income, inflation protection, enhanced returns and volatility dampening has created a ‘Goldilocks moment’ for alternative investments.
Insurers to suppliers: Time to get with the DEI program
As corporations strengthen efforts to diversify their cultures, employee population, recruiting, and community service, suppliers must realize that they are part of that values alignment, too.
Finra slaps J.P. Morgan over ex-rep who loaded grandma up on structured products
The firm was fined $200,000 for failing to supervise the rep, whose grandmother was 88 and widowed when she opened her account in 2014.
Fintech Bytes: Robinhood layoffs, BlackRock partners with Coinbase
Some startups have already made moves to prepare for an extended bear market, but now the crunch is coming to more established fintech brands.
Difficult topics deserve nuanced coverage
The advisory and investment industries have a rare chance to reframe how Americans debate polarizing issues.
Recruiting slowed in the first half while M&A soared
Volatile markets may be holding recruiting activity back from its breakneck pre-pandemic pace but mergers and acquisitions have more than rebounded from the 2020 low.
LPL payout inches up as revenue per adviser dips
'Tis the season? LPL points to 'seasonality' to explain the slight bump in the rate of adviser pay in Q2.
Robinhood slashes 23% of workforce; chief product officer departs
The app-based brokerage's reductions were concentrated in operations, marketing and program management functions.
SEC warns brokers, advisers to make ongoing efforts to identify, mitigate conflicts
Among the suggestions for mitigating conflicts are to avoid compensation incentives for selling certain products and to minimize incentives for favoring one type of product or account over another.
