On June 11, 2025, Vanguard filed an application with the U.S. Securities and Exchange Commission for…
Category: Wealth Planning
JPMorgan seeks restraining order for advisor at Wells Fargo
For the second time in a week, JPMorgan is suing a former advisor for alleged violations…
The Key Challenge for 401(k) Plan Advisors
At a recent TPSU training program, a plan without an advisor asked the panel how to…
Carefull, Alzheimer’s Association create education campaign
Fintechs, banks and nonprofit organizations are spreading awareness about the risks of elder fraud and cognitive…
Raymond James Welcomes $950M Team from Ameriprise in Colorado
A $950 million 10-advisor team from Colorado is joining Raymond James from Ameriprise. Springs Wealth Group,…
Senior RIAs Must Share Clients to Foster Next Generation
Registered investment advisor president and CEO JC Abusaid told an audience of advisors at this year’s…
Schwab Center for Financial Research Reveals 2025 Mid-Year Outlook
WESTLAKE, Texas–(BUSINESS WIRE)– The Schwab Center for Financial Research (SCFR), which provides top-quality research, timely market…
SEC withdraws AI, cybersecurity rules for advisors
The SEC is dropping a slew of proposals that would have heightened advisors’ responsibilities for cybersecurity,…
CFP Board forms AI Working Group
The CFP Board has convened a new AI Working Group to address the technology’s place in…
Elevation Point Stakes Michigan RIA
Elevation Point, an investment firm launched last year that oversees $3.4 billion in client assets, has…
Millions of acres of public land sales added to Trump’s tax bill
The sale of millions of acres of federal land would provide billions of dollars to help…
Schwab Reports Monthly Activity Highlights
WESTLAKE, Texas–(BUSINESS WIRE)– The Charles Schwab Corporation released its Monthly Activity Report today. Company highlights for…
Weighing the chances of RIA arbitration reform
Investor advocates are cheering an attempt to place stricter limits on how RIAs can use arbitration…
Morningstar study sheds light on interval fund fees
Within the sales pitch for interval funds that open access to alternative assets like private credit,…
Vanguard’s SEC Application Ramps Up Competition in Dual-Share ETF Race
The Vanguard Group’s application to add ETF shares to its actively managed mutual funds will likely…
RIAs Of the Future Will Be Focused on Growing Revenue, Not Just Assets
Registered investment advisors looking to build sustainable, growth-oriented firms need to think outside the usual parameters…
How advisors should talk to clients about looming inflation
Despite staying in check in May, some analysts are concerned that inflation may once again start…
Using AI to write that client email? Think twice.
Advisors are increasingly taking advantage of generative artificial intelligence. And not just in the back-office, but…
New generation of crypto ETFs edge closer to reality after SEC scrutiny
U.S. regulators have asked Wall Street firms racing to launch solana exchange-traded funds to revise their…
Vanguard seeks SEC approval for tax-busting fund
Vanguard, the investment giant famous for low-cost index funds, is seeking regulatory approval to expand its…
Advisors Must Connect on Personal Level with Next-Gen Clients
Many advisors may hide behind their qualifications and an age gap when considering working with next-generation…
RIAs Must Dedicate Revenue, Time to Bolster Organic Growth
During panels at Wealth Management EDGE, RIA heads and consultants pointed to the importance of deliberate…