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Study: Fees down, quality up in 529 plans
Morningstar's annual look at education plans finds total assets unchanged in 2018.
Selling your firm, even if you’ve never thought about it
The advisory industry is consolidating, and firms that think they might want to do something at some point should explore their options.
Mohamed El-Erian named president of Queens’ College at Cambridge University
The chief economic adviser at Allianz will take up the position at Cambridge in October 2020, succeeding John Eatwell.
How to replicate a stretch IRA
Stretch IRA is no longer a retirement planning strategy when the SECURE Act was passed in 2019. There are still other options – find out what they are
Finra bars former Commonwealth rep for non-cooperation
Benjamin Bourgeois Jr. failed to give regulator information for its investigation.
Finra, looking into fraud, bars former Securities America rep
Michael Bastardi decided not to provide regulator with requested information.
Reverse mortgage lenders pivot as sales falter
HECMs are seeing heavy competition from proprietary products for the first time in a decade.
Legg Mason cuts 12% of staff in revamp as investor Peltz joins board
Most of the 120 employees being let go are in the United States.
Robinhood is set to raise at least $200 million in new funding
Valuation of the company offering free app-based trading could climb to as much as $10 billion, sources say
Attempt to ban SALT weakened by strong data
Northeastern states argue cap will cause devastation, but recent tax filings show revenue increases in New York and New Jersey.
SEC bars four ‘advisers’ for selling unregistered Woodbridge securities
Sales of high-commission notes and private placements were at issue.
4 top surprises from the new tax law
Advisers can turn these surprises into planning opportunities this year.
CITs are changing the retail 401(k) world
Collective investment trusts also have the potential to fuel a new wave of lawsuits against advisers.
Variable annuities lose more ground to fixed annuities
Market gyrations put a dent in quarterly VA sales.
Calm in the storm: How advisers can combat emotional investing
Amid global market volatility, it's easy for investors to fall into the trap of making long-term decisions based on momentary emotions such as fear or greed.
Why our firm hired a data geek instead of another financial adviser
Kathryn Brown says the position has made every other role at Morton Brown Family Wealth more productive and has transformed their platform from data storage into data action.
Finra bars former TD Ameritrade broker over expenses inquiry
William Poynter declined to appear at hearing looking into tuition reimbursements.
Finra bars former LPL rep over no-show at hearing
Philip Nalesnik failed to inform firm of outside business activities.
Advisers on the Move: Latest trends in recruiting
Top moves, net gains and losses, plus daily move activity updated weekly
RPAs seeking revenue streams
To combat fee compression, many look to diversify their businesses.
