Quad-A CEO Sheena Gray shares plans for her newly permanent role
The Association of African American Financial Advisors is holding its annual Vision conference this week.
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Apollo moves to start private credit ETF with State Street
The offering, a mix of liquid credit and private investment, still needs regulatory approval.
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IBD Elite 2024: The 10 firms with the most CFPs
The number of certified financial planners reflects competition for talent and a profession navigating questions about conflicts of interest.
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Divorce planning for clients: A guide for financial advisors
Expertly guiding a client through the divorce process can forge long-term bonds that foster practice growth.
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FP Alpha upgrading for elections, tax law changes: Tech spotlight
Rising wealthtech platform FP Alpha is automating its AI to read more complex documents for advisors and analyzing them in ways to better prepare for major events, like tax breaks expiring in 2025.
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SEC's marketing rule sweep hits 9 firms with $1.2M in fines
RIAs including Abacus Planning Group, Beta Wealth Group, Integrated Advisors Network were accused of violations ranging from making unsubstantiated statements to claiming membership in nonexistent organizations.
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Suit: Schwab should and could have stopped elder gold bar scam
Lawyers allege the 92-year-old victim's daughter begged Schwab to freeze her mother's account, but to no avail.
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The Ladder: Peter Krull's Ph.D and SRI moments
The partner and director of sustainable investing at Earth Equity Advisors says meeting two influential people in his life led him to a career in socially responsible investing.
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Buy-sell agreements in focus with Court decision and TCJA expiration
The handoff of a company carries important tax implications alongside a plethora of succession challenges. Here's what financial advisors need to talk about with clients.
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An ESG backlash erupts in Europe on world's strictest rules
Unlike the U.S., where the federal government can offer tax breaks, EU taxation rests with member states, leaving the bloc to work largely through loans and grants.
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Biden aides working on U.S. sovereign wealth fund
The proposal seeks to mirror similar funds used by Norway, Kuwait and Abu Dhabi to support national interests in technology, energy and other industries.
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Yellen, IRS trumpet crackdown on wealthy tax cheats
In the first half year of Inflation Reduction Act-funded enforcement, the Internal Revenue Service has recovered over $1.3 billion.
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Financial planning as a perk opens doors for advisors
This fringe benefit can take the weight off of the company's human resources department, allow employees to experience the benefits of financial planning and even allow advisors to prospect for new clients.
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IRS-CI warns about sports betting and taxes
With football season now underway, the Internal Revenue Service's Criminal Investigation unit is urging taxpayers to play by the rules when it comes to sports betting.
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Tech execs: Don't adopt advisor AI because of FOMO
Top executives at Advyzon, Kwanti, Softlab360 and The Oasis Group discuss how advisors should be careful not to jump into AI too quickly, despite being tech advocates themselves.
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Morgan Stanley hit with $2M over wealth unit's alleged stock monitoring failures
Massachusetts regulators accused the wirehouse of not conducting proper oversight of stock sales made a First Republic executive shortly before the bank collapsed last year.
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Morgan Stanley hit with $2M over wealth unit's alleged stock monitoring failures
Massachusetts regulators accused the wirehouse of not conducting proper oversight of stock sales made a First Republic executive shortly before the bank collapsed last year.
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Advisor moves: UBS, Raymond James, RBC pick up teams
The groups managing hundreds of millions are coming over from Merrill, Northwestern Mutual and Wells Fargo.
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Advisor moves: UBS, Raymond James, RBC pick up teams
The groups managing hundreds of millions are coming over from Merrill, Northwestern Mutual and Wells Fargo.
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Former athletes can win big by tackling careers in financial advice
Professional athletes, who may have struggled financially for years, often suddenly come into large sums of money once they achieve their dreams. That's where a financial advisor can help — especially one who is a former athlete.
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