3 strategies to recession-proof portfolios and clients in 2026
Rethink bonds and hedged funds while prepping clients for a market correction — or worse — in the coming year, counsels the CEO of Toews Asset Management.
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FINRA puts AI under microscope in latest regulatory oversight report
For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.
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Holiday greetings that deepen client relationships
The end of the year provides a rare opportunity for financial advisors to connect with clients and prospects without a pressing reason. Experts say there are tried-and-true methods for making it count.
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Holiday greetings that deepen client relationships
The end of the year provides a rare opportunity for financial advisors to connect with clients and prospects without a pressing reason. Experts say there are tried-and-true methods for making it count.
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Successful exits aren't easy. Here's how RIA owners can do it right
Separate from any transactions involved with succession, financial advisors who want to retire face challenges that make exiting the business difficult.
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Savers say they want investment independence. Data suggests otherwise
Retirement savers say they want investment choice, but confidence in navigating those decisions remains low, according to new T. Rowe Price research.
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Tax breaks 'more certain than future returns' for 529 plans, Morningstar says
Morningstar's study of this growing area of asset management suggests that 529 plan quality is rising, despite the research firm's lackluster grades for it.
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Why Dana Investment Advisors is a two-time best workplace champ
CEO Mark Mirsberger said turnover is practically nonexistent at his firm, which goes to great lengths to accommodate its employees and hires people who value teamwork.
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The 18 best places to work in money management
Our latest ranking of money managers' workplaces in conjunction with Best Companies Group produces a return champion and some new additions.
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Childhood trauma linked to major retirement shortfalls, study finds
Researchers found that potentially traumatic childhood experiences, including physical abuse and parental separation, have lasting financial consequences, shaping workers' savings and retirement security decades later.
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Don't think your clients use prediction markets? Don't bet on it
Prediction markets like Kalshi and Polymarket, growing in popularity, allow users to essentially bet on nearly everything. If your clients have questions, here's what experts say you should tell them.
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JPMorgan advisor who went to Morgan Stanley accepts TRO
Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.
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Wells Fargo pulls mammoth $6.3B team from UBS: Advisor Moves
Also, Cresset extends its reach in Texas, Janney recruits from Wells Fargo and Ameriprise, Merrill draws from Wells Fargo and Mercer acquires a $1B firm.
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10 best and worst small-cap ETFs of the past year
Current market conditions and declining interest rates make small-cap ETFs an attractive option for diversification, but choosing the right one requires a hard look at the details.
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FINRA rules pushed sketchy brokers toward insurance registration: Study
Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.
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Guidance issued on Trump Accounts
The release coincides with a $6.25 billion donation from Michael Dell and his wife to kickstart the savings program.
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How an ex-Marine grew an RIA into a $2.7B firm
Discipline, esprit de corps and a detailed playbook for advisors provided the growth engine for the enterprise.
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RBC touts recruiting wins as U.S. wealth exec plans to step down
RBC CEO David McKay discusses plans to provide more clients with banking relationships while the firm announces a reorganization of its U.S. wealth management division next year.
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How life insurance settlements could bring liquidity, tax savings
When a client's insurance needs change, the opportunity to sell their life policies to outside buyers should not be overlooked.
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5 retirement planning strategies for 2026
When it comes to retirement planning, financial advisors are always looking for an edge. Could these strategies get them there?
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