Your Practice

Displaying 13004 results
CFP Board hits three advisers with suspension
PRACTICE MANAGEMENT AUG 12, 2022
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.

OneAmerica, ProNvest create portal linking plan, outside assets
RETIREMENT PLANNING AUG 12, 2022
OneAmerica, ProNvest create portal linking plan, outside assets

The feature is designed to help plan participants and retirement plan advisers see the full wealth picture.

Pair of adviser fintech startups pull in funding despite a decline in tech investing
FINTECH AUG 11, 2022
Pair of adviser fintech startups pull in funding despite a decline in tech investing

Both Modern Life and Farther closed $15 million funding rounds, suggesting technology for advisers is still seen as an attractive opportunity.

Wealthy clients mostly avoid new taxes as spending bill nears finish line
PRACTICE MANAGEMENT AUG 11, 2022
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.

Beware of ‘finfluencers,’ NASAA warns
FINTECH AUG 11, 2022
Beware of ‘finfluencers,’ NASAA warns

The organization of state regulators cautions about taking advice from social media financial influencers because of possible conflicts.

Matthew Boersen elected chair-elect of CFP Board
PRACTICE MANAGEMENT AUG 11, 2022
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
PRACTICE MANAGEMENT AUG 09, 2022
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
RETIREMENT PLANNING AUG 09, 2022
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  
PRACTICE MANAGEMENT AUG 09, 2022
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
OPINION AUG 09, 2022
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
RIAS AUG 08, 2022
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.

UBS adds a $100 million adviser in San Diego
ADVISOR MOVES AUG 08, 2022
UBS adds a $100 million adviser in San Diego

Carolin Botzenhardt, who had been with Wells Fargo for five years, joins the La Jolla, California, office of UBS Private Wealth Management.

Ex-LPL adviser accused of racism claims firm defamed her in lawsuit
PRACTICE MANAGEMENT AUG 08, 2022
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!
ALTERNATIVES AUG 08, 2022
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
LIFE INSURANCE AND ANNUITIES AUG 08, 2022
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
ALTERNATIVES AUG 05, 2022
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
FINTECH AUG 05, 2022
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
PRACTICE MANAGEMENT AUG 05, 2022
Difficult topics deserve nuanced coverage

The advisory and investment industries have a rare chance to reframe how Americans debate polarizing issues.

Cash revenue helps AssetMark offset market losses for record quarter
FINTECH AUG 04, 2022
Cash revenue helps AssetMark offset market losses for record quarter

While the choppy market performance dented total platform assets, rising interest rates have boosted the spread the TAMP earns on cash held by its proprietary custodian.

Roe v. Wade highlights how some advisers navigate controversial issues on social media
FINTECH AUG 04, 2022
Roe v. Wade highlights how some advisers navigate controversial issues on social media

Social media offers financial advisers a way to establish a personal brand and build connections with clients and prospects, but dealing with hot-button topics like abortion can be tricky.