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Advisor movement continues to slow, but there’s a bright spot
RIAS MAY 17, 2023
Advisor movement continues to slow, but there’s a bright spot

Despite the broader slowdown in recruiting over the first three months of the year, the RIA and independent broker-dealer channels have continued to bring on experienced advisors at a steady pace.

Finra slaps MassMutual B-D with $250,000 fine for not promptly reporting customer complaints
LIFE INSURANCE AND ANNUITIES MAY 17, 2023
Finra slaps MassMutual B-D with $250,000 fine for not promptly reporting customer complaints

The disclosures that MML Investors Services delayed making included customer complaints and arbitrations, criminal charges and bankruptcies.

Kate Healy to step down as head of Center for Financial Planning, start new firm
PRACTICE MANAGEMENT MAY 17, 2023
Kate Healy to step down as head of Center for Financial Planning, start new firm

Healy, a long-time executive at TD Ameritrade, was appointed to head the center last summer to lead its efforts to elevate the financial planning profession with programs in diversity and inclusion.

Value exchange runs deeper for independent wealth managers
OPINION MAY 17, 2023
Value exchange runs deeper for independent wealth managers

A successful value exchange requires a demonstration of worth as a matter of consistent policy and procedure to build the trust needed to improve the client’s financial well-being.

10 IBDs with the most CFPs in 2022
BROKER DEALERS MAY 17, 2023
10 IBDs with the most CFPs in 2022

As the number of certified financial planners grows, here are the independent broker-dealers who employ the most CFPs.

Advisor Group loses teams with $615 million to Commonwealth, LPL
RIAS MAY 16, 2023
Advisor Group loses teams with $615 million to Commonwealth, LPL

Trusted Wealth Partners in Omaha, Nebraska, is moving to Commonwealth while Connecticut-based Hedberg Wealth Management is going to LPL.

SignatureFD adds Pontera platform to grow 401(k) business
RETIREMENT PLANNING MAY 16, 2023
SignatureFD adds Pontera platform to grow 401(k) business

Pontera’s alliance with the Atlanta-based wealth manager is the latest in a string of deals designed to give financial advisors the ability to manage client assets in held-away accounts.

Financial strategies for parents with autistic children
PRACTICE MANAGEMENT MAY 16, 2023
Financial strategies for parents with autistic children

Advocacy group Autism Speaks says that the cost of caring for a person with autism can run an estimated $1.4 million over the course of their lifetime.

Women's fear about retirement cuts across party lines
RETIREMENT PLANNING MAY 16, 2023
Women's fear about retirement cuts across party lines

Just over half of women who are 25 and older said they don't consider themselves financially secure; 77% of low-income women said the same.

Spring cleaning: Letting go of clients who no longer fit your firm
OPINION MAY 15, 2023
Spring cleaning: Letting go of clients who no longer fit your firm

The majority of advisors have some clients who are unprofitable or no longer a good fit for them.

Cetera sees dozens of Securian advisors walk in wake of deal
BROKER DEALERS MAY 15, 2023
Cetera sees dozens of Securian advisors walk in wake of deal

According to InvestmentNews data, the top two destinations for advisors leaving Securian this year are LPL Financial and StanCorp Equities.

RIAs are embracing compliance as a necessary evil
COMPLIANCE MAY 15, 2023
RIAs are embracing compliance as a necessary evil

In an era of increasingly complex regulatory oversight and possibly the most aggressive SEC ever, breakaway RIAs are realizing that compliance is not something to be ignored.

SEC's delay on climate disclosure rule leaves companies in limbo
FINTECH MAY 12, 2023
SEC's delay on climate disclosure rule leaves companies in limbo

Few companies have goals in place that would reduce their greenhouse gas emissions in line with Paris goals, according to MSCI.

Investors want AI-powered advisors, and fintechs race to meet demand
TECHNOLOGY MAY 12, 2023
Investors want AI-powered advisors, and fintechs race to meet demand

Most clients believe AI will help their advisors, a Morgan Stanley report finds.

EVs, heat pumps and solar panels: What advisors say about new tax credits
RETIREMENT PLANNING MAY 12, 2023
EVs, heat pumps and solar panels: What advisors say about new tax credits

The Inflation Reduction Act gives clients many reasons to make their homes more energy-efficient or get an electric vehicle, now or later.

RIAs need to get past their fear of asking for referrals
RIAS MAY 11, 2023
RIAs need to get past their fear of asking for referrals

Research shows most new clients come directly from referrals from existing clients, yet most advisors are reluctant to ask for referrals.

Sometimes mothers do know best
PRACTICE MANAGEMENT MAY 11, 2023
Sometimes mothers do know best

Rising women advisors apply their mothers' and mothers-in-laws' advice to grow their careers.

J.P. Morgan partners with Vestwell to expand 401(k) business
RETIREMENT PLANNING MAY 11, 2023
J.P. Morgan partners with Vestwell to expand 401(k) business

Vestwell will provide a new record-keeping solution and help power Everyday 401(k), Chase’s workplace savings program for small businesses.

SEC steps up intensity of cybersecurity oversight
FINTECH MAY 11, 2023
SEC steps up intensity of cybersecurity oversight

Investment advisors and brokerages shouldn't wait for final regulations to shore up their cyber defenses, experts say.

Organic growth in the RIA space is fading away
RIAS MAY 11, 2023
Organic growth in the RIA space is fading away

David DeVoe challenges the industry to refocus on organic growth, but not just for growth's sake.