A California-based advisor (and frequent CNBC guest) who was on the run from law enforcement for…
Tag: advisor
How to thrive as a financial advisor with ADHD
When Aubrey Williams, a financial advisor at Open Path Financial in Goleta, California, watched his kids…
UBS Advisor Headcount Down, But Profits Up
UBS, the Zurich-based bank and wealth manager, reported a 4% drop in advisor headcount quarter-over-quarter in…
Raymond JamesSees Strongest Advisor Pipeline in Decades; Ameriprise Hikes Recruitment Packages
Raymond James and Ameriprise Financial reported relatively strong earnings from their wealth management divisions, including strength…
Financial Advisor Indicted in $9.5M Ponzi Scheme Spanning Decades
A Northern California financial advisor faces 20 years in prison after being indicted in a fraud…
Bay Area Advisor Departs Commonwealth to Start Own RIA
Adam Spiegelman, a financial advisor based in Alamo, Calif., with about $400 million in assets under…
Treasury Postpones Investment Advisor Anti-Money Laundering Rule to 2028
The Treasury Department is postponing its investment advisor anti-money laundering rule by two years and plans…
AI use tops advisor compliance headaches for first time
For the first time, artificial intelligence use is far and away the most common concern for…
Steward Partners Snags $500M Advisor From Truist
Steward Partners, an employee-owned hybrid partnership of independent advisory firms, has added former Truist advisor Mike Wood…
CFP Board picks Ph.D. advisor as 2026 chair-elect
It won’t take effect for another 18 months, but the CFP Board already has its chair…
J.D. Power’s 2025 financial advisor satisfaction rankings
One of the most closely watched report cards in the fight to recruit and retain financial…
Financial Advisor Model Portfolios Surge to $4.4T in Assets
A first-quarter 2025 “Model Portfolio Trend” report compiled by fintech firm Broadridge Financial Solutions confirms that…
Advisor confidence positive for the first time in six months
Financial advisors’ confidence levels have risen out of negative territory for the first time in half…
Why advisor self-care is crucial to wealth management
The personal mental health and wellness of financial advisors and other wealth management professionals can often…
$290B Financial Advisor Ric Edelman Boosts Crypto Allocation Recommendation
Prominent financial advisor Ric Edelman says investors should consider putting as much as 40% of their…
Quinn Signals Another Wave in the Great Advisor AI Tech Acceleration
I wrote a column last summer entitled “Finny and the Great AdvisorTech Acceleration,” largely about the…
The Role of Internships in Filling the Advisor Pipeline
Registered investment advisor Halbert Hargrove has strived to build its firm on a unique business model…
Stifel gets $2.1B team at Oppenheimer in week’s advisor moves
Stifel Financial is shaking up the wealth management business on the West Coast with its recruitment…
&Partners Founders Discuss the Power of Answering Advisor Calls at 5:30 a.m.
&Partners, the St. Louis-based hybrid broker/dealer launched by David Kowach, former president and CEO of Wells Fargo…
NASAA Seeks Comments on Aligning State Advisor Ad Rules with SEC
State securities regulators want to align state-specific rules with the federal marketing rule. The North American…