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Adviser coach awards $50,000 in scholarships
The grants from Stephanie Bogan will support training for diverse advisers.
At LPL Financial, advisory assets are far sweeter than brokerage
An LPL presentation on the return on various types of assets shows the age of advisory assets and fees has arrived in the broad financial advice industry.
CFP Board opposes FPA on title protection effort
CFP Chair Kamila Elliott said the current political environment would make it too difficult to obtain legal recognition of financial planning.
Finra fines Edward Jones $1.1 million over bungled phone records
The firm used two locations to store phone records, which caused a confused response to Finra document requests in investigations, according to the regulator.
Alexandra Lebenthal, third-generation Wall Streeter, invests in first-generation women business owners
Steeped in finance, Lebenthal turns her considerable influence to accelerate growth for women-led businesses.
Advisory firm valuations are dropping
Falling markets are cutting firms' revenue tied to AUM at the same time rising interest rates are making it more expensive for buyers to finance deals.
The latest in financial #AdviserTech — December 2022
This month’s highlights include Savvy Wealth’s $11 million funding round to enter the realm of tech-enabled RIAs, along with DPL Partners’ new adviser-matching solution and InvestCloud’s Advisor Connect solution.
Build capacity by pruning clients
Advisers need to create an ‘ideal client’ description, grade their clients and eliminate those who aren't the right fit.
Former broker, insurance agent arrested in California on fraud charges
Gautam Arora allegedly defrauded four victims out of $100,000 to secure investments that didn't exist.
Morningstar adds Luma annuity technology to Advisor Workstation
The new annuity functionality will help advisers using Morningstar's workstations manage annuity transactions for their clients.
Goldman plans to slash hundreds of more jobs
Chief Executive Officer David Solomon has said he’s dialing back the firm’s ambitions for consumer banking.
An adviser who zooms in on OnlyFans stars
Jessica Goedtel is building an advisory practice where people who earn a living via online platforms like OnlyFans feel welcome.
FPA leader calls title protection top advocacy priority for years to come
The organization representing financial planners wants to obtain legal recognition of the profession, a process that could involve a long, winding road through state and federal legislatures.
AdvisorFinder platform aims to put prospective clients in the driver’s seat
Entering the competitive space of client referral programs, AdvisorFinder faces the challenge of getting consumers to the site.
Best gifts for star performers on your staff this holiday season
Ways that firms can demonstrate their appreciation of their staff members amid the year-end festivities.
Big RIAs hit a new high: $3 trillion in assets in ’22
In all 4 regions, 3,006 RIAs reported $3.015.5 trillion in assets, compared to $2.493.5 trillion in 2021, according to InvestmentNews research.
3 ways you can attract next-gen advisers
Finding younger advisers to join your firm isn’t easy, but it’s well worth the investment of your time and energy.
3 new phishing attacks that will catch advisers off-guard
As more advisers work remotely and turn to messaging apps and social media to communicate, they’re exposing themselves to a higher risk of exploitation through impersonated and hijacked accounts.
Pass rate was 64% on the November CFP exam
Just 4% of the 3,204 candidates took the test remotely. Registration for the March exam is open until Feb. 21.
Morgan Stanley cutting workforce while Goldman warns of job cuts
As the U.S. braces for a recession, Morgan Stanley is reducing its global head count.
