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Financial Planning Magazine
05.06.2025
FINRA tightens its criteria for industry arbitrators, giving rise to worries that those who serve on arbitration panels will have little in common with regular investors.
JPMorgan is among the big U.S. banks making into roads into the digital assets industry, now allowing clients to borrow money against crypto ETFs.
Multilingual financial advisors are a rarity, making those who can communicate in languages beyond English an invaluable asset for firms.
Morgan Stanley Global Sports & Entertainment and TheLinkU team up to provide financial education and coaching to NCAA athletes about NIL compensation.
Affluent investors are most interested in fee-based planning, according to a Cerulli report.
04.06.2025
AI-powered tax, estate and insurance planning platform FP Alpha introduced an upgrade.
Should you merge your RIA with a larger outfit? This financial advisor did — and she's sharing the lessons learned, from tech troubles to time gains.
Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.
Ameriprise's Brian Mora says his firm has been able to achieve unusually high success rates with advisor training with newcomers who join teams.
03.06.2025
Cresset Capital has been able to scale quickly due to a technology stack tailored to its needs as a family office.
The Supreme Court allows FINRA to continue seeking industry expulsion for the embattled brokerage Alpine in a case testing the authority of self-regulatory organizations.
A TIAA Institute and GFLEC survey found that the average U.S. adult can't answer a majority of retirement-related questions. Financial advisors say that's a problem.
31.05.2025
As Gen Z navigates financial hurdles, many view retirement as unattainable, according to a Nationwide survey. Financial advisors think they can help.
Social Security claims have increased as retirees show concern over the solvency of the program and recent economic turbulence. Financial advisors weigh in on their strategies.
The steady trickle of advisors out of UBS continues this week with a big team moving to RBC. Ashton Thomas and LPL Financial also had recruiting wins.
30.05.2025
Expanded 529 plans and pass-through deductions are a boon for the wealth management industry, but Donald Trump's sweeping tax bill comes with its challenges.
RBC's U.S. wealth management unit sees no net assets inflows in the second quarter but ekes out increases in its revenue and assets under management.
29.05.2025
Financial Planning Association President Paul Brahim shares his priorities for his term and discusses exit planning and AI.
Flexible technology tools that forge stronger bonds between RIAs and next-gen clients are a must — so is promoting advisor adoption, says the COO of Concurrent.
28.05.2025
Average U.S. household earnings far surpass retiree income, but certain top cities stand as exceptions to the trend, according to a new SmartAsset study.
The definitive guide for wirehouse financial advisors deciding whether or when to leave Merrill, UBS, Morgan Stanley or Wells Fargo for another wealth management firm
With its latest RIA purchase, Simon Quick remains one of the increasingly rare firms that's doing mergers and acquisitions without private equity backing.
Certain vintage Fender, Gibson and Martin guitar models can fetch high prices, but investing in the instruments should be done with care, financial advisors warn.
27.05.2025
UBS research analysts have begun appearing as AI avatars in client-facing videos. Some financial advisors are considering following suit.
24.05.2025
A shift from itemized deductions has boosted interest in qualified charitable distributions, but experts say financial advisors have more work to do around client education.
McKinsey study indicates that investors who are women increasingly control greater financial power; financial advisors should take note.
23.05.2025
Raymond James swoops up a mammoth $2.7 billion institutional client from LPL, while LPL pulls from Cetera and Ameriprise: Advisor Moves.
Amid market sell-offs, direct indexing and its tax-loss harvesting component can scratch a client's itch to do something while maintaining full market exposure.
SmartAsset study of financial advisor pay increases in 2024 reveals where wealth management compensation is rising the fastest.
Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.
22.05.2025
The definitive guide to when financial advisors should launch their own RIA firm rather than working for a large wealth management company
Trillions in wealth management client assets in separately managed accounts SMAs could convert to ETFs via tax-aware Section 351 conversion, Cerulli study says
The disgraced investment advisor Julie Darrah is sentenced to 10 years in prison for defrauding elderly clients through an RIA she sold to WEG.
Virtual client meetings surged during the COVID-19 pandemic, but financial advisors say the move online is here to stay. Here's how to win in a digital world.
21.05.2025
Artificial intelligence tools have reduced the need for this financial advisor to use a virtual assistant.
The regional bank Fifth Third is partnering with a fintech to make estate planning easy, accessible — and free.
Stifel asks a court to overturn the $133 million FINRA arbitration award allotted to a family of investors over a broker's investment recommendations involving structured notes.
Conventional wisdom suggests financial advisors focus on wealthy areas, but is that still accurate in a post-COVID-19 world?
In consolidating industry perpetual growth may seem like the only way forward, but advisors still have options.
20.05.2025
New video game "The Four Money Bears: Berryville" teaches kids entrepreneurship and money skills in collaboration with financial advisors and wealth firms