LPL Financial, Edward Jones, RBC, Stifel and TD Ameritrade are paying up to settle allegations they…
Category: Wealth Planning
Wealth Management EDGE Live Blog
About 1,000 financial advisors descended upon The Boca Raton resort in Boca Raton, Fla., this week…
Bahnsen Group Names New President, CFO in Leadership Reshuffle
The Bahnsen Group, a $7.5 billion national wealth management firm, has a new president in Joseph…
Jalina Kerr on Adapting to Market Volatility
Economic uncertainty, heightened volatility and on-again, off-again trade policies are challenging for investors. But similar to…
RIAs Focused on ETFs with Specialized Strategies in Q1 2025
RIAs increasingly invested in ETFs focused on specialized strategies and risk management in the first quarter…
Building a Self-Sustaining Financial Advisory Practice
In this episode of Zephyr’s Adjusted for Risk Podcast, market strategist Ryan Nauman welcomes Jason Smith,…
JPMorgan sues ex-advisor now at Morgan Stanley
JPMorgan is taking a Morgan Stanley financial advisor to court over allegations that she has inappropriately…
Trump reverses Biden-era crypto warning for retirement plans
Retirement plan sponsors have traditionally approached cryptocurrencies with caution, heeding federal warnings to exercise “extreme care”…
Financial advisors more comfortable using AI at home than work
Most financial advisors use generative artificial intelligence at least occasionally, but they generally feel more comfortable…
Wealth.com launches estate planning event for advisors
Financial advisors seeking to bring more tax-related services to their wealth management businesses could get a…
Schwab Trading Activity Index™: STAX Score Continues Downward Trend Despite May Rally
Schwab clients were sellers of equities in May; Net selling was highest in the Information Technology,…
401(k) Record Keepers Facing Existential Moment
While the defined contribution market is finally capturing due attention from the financial services industry and…
Schwab Asset Management Reduces Fees on Four Equity Index ETFs and Announces Mutual Fund Share Splits
WESTLAKE, Texas–(BUSINESS WIRE)– Schwab Asset Management®, the asset management arm of The Charles Schwab Corporation and…
FPA: Mutual fund wrap programs gain popularity with advisors
Financial planning involves a lot of elements. For a growing share of advisors, managing investments isn’t…
Advisor confidence rising, but still underwater overall
Financial advisors’ confidence levels have continued to rebound but remain in the red overall. That’s the…
Tips for financial advisors to grow their business
Enjoy complimentary access to top ideas and insights — selected by our editors. A good advisor…
SEC Committee Recommends Reforms for RIA Mandatory Arbitration Clauses
An SEC committee is recommending that the regulator “harmonize” its rules regarding mandatory arbitration clauses between…
FINRA panel fines U.S. Capital Wealth for investment advice
A hybrid wealth management firm acquired by Arax Investment Partners last year owes a client at…
10 best and worst crypto ETFs of the past year
Once shunned, it’s now been 18 months since spot bitcoin exchange-traded funds were finally given regulatory…
Charli AI Launches Smart Deal Finder
Beyond the low-hanging fruit of AI notetaking, of which I’ve written a lot about in the…
UBS fined for broker’s firing
UBS is on the hook for $1 million after a FINRA arbitration panel found it wrongfully…
VanEck Launches First ETF Tracking Public Private Asset Managers
Major ETF player VanEck launched an ETF that will track publicly-traded private asset managers, including Blackstone,…