Bank of Nova Scotia wants to tap into the population of affluent Canadians with ties to…
Category: Wealth Planning
LPL Drops Data-Breach Lawsuit Against Ameriprise
LPL Financial has dropped a defamation lawsuit against Ameriprise in which it accused the rival broker/dealer…
Allocate or avoid? Advisors weigh in on the recent gold rush
Gold has staged an impressive rally this year, surging past Goldman Sachs’ 2025 forecast to briefly…
Financial advisors are torn over this RMD tax strategy
Required minimum distributions can be a touchy subject for retirees and their financial advisors, requiring them…
Five Things Advisors Should Look for in UMAs
Since their introduction in the 1990s, unified managed accounts have seemed like an attractive tool for…
FINRA to reopen supervision plans in WhatsApp cases
FINRA is looking to lighten the supervision burden on nearly 80 firms that reached settlements before…
The basics of tax-aware long-short investment strategies
Financial advisors and clients seeking to boost the tax savings available through loss harvesting may consider…
CFP Launches AI-Driven Exam Prep Tool
The CFP Board announced on Monday the availability of an artificial intelligence-backed exam preparation tool for…
Basic Capital Pitches Bringing Leverage to 401(k)s
(Bloomberg) — When Abdul Al-Asaad was a student at Harvard Business School in 2021, he pitched…
Transitioning From Talent-First to Skill-Specific
The origin story of many RIAs is quite similar: a group of advisors unites with the…
Going beyond the standard wealthtech choices: Show Me Your Stack
Welcome to “Show Me Your Stack,” a series from Financial Planning in which we interview those…
LPL Financial drops suit accusing Ameprise of defamation
LPL Financial is dropping a defamation suit it filed nearly two months ago against Ameriprise over…
New Hires at Cetera, Citi Wealth, Parcion, Nordwand
Cetera Names Former Equitable Exec to Lead Indie Business Division Cetera Financial Group has named John…
How one RIA found its succession plan
Financial advisors face twin business challenges that are difficult to accomplish at the same time: succession…
Sanctuary Lands $2B Team from UBS
A team of UBS-affiliated advisors managing about $2 billion in client assets has moved to Sanctuary…
LPL CEO not worried about rivals for Commonwealth advisors
LPL CEO Rich Steinmeier has seen the offers other firms are making to Commonwealth Financial advisors…
Mercer Accuses Former Advisors Of Using ‘Trade Secrets’ to Solicit Clients
Mercer Global Advisors is suing two former employees, accusing them of illegally enticing Mercer clients after…
The Key Question Many Advisors Aren’t Asking
It’s a missed opportunity hiding in plain sight: “What’s your favorite charity?” It may sound basic,…
AI Innovations in Wealth Management: Jump, HighPeak & Carefull
There have been more exciting artificial intelligence rollouts and announcements for advisors this week. Among the…
$1.6B Houston RIA Adds 8 Partners in Succession Move
Financial Synergies Wealth Advisors, a Houston-based registered investment advisor with $1.6 billion in client assets, has…
10 best and worst bond funds of the past 3 years
For many advisors, bond funds are necessary and effective for diversifying investment portfolios. High net worth…
The risks of investing in private equity
The returns of private equity investments will grab any investor’s attention, but there are risks to…