How should financial advisors pick a fee model?
Other than satisfying important regulatory requirements, RIAs and their clients can exercise a lot of choice on costs. Here's how experts view the process.
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Edward Jones wins big arb award against departed broker
George "Keith" Demetriades was accused of violating nonsolicitation clauses and misappropriating trade secrets after leaving for an RIA in 2023.
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Tax pro coalition urges Treasury to stabilize IRS
A group of tax organizations, including the NATP and NAEA, hopes to preserve the core tax functions relied on by tax professionals despite cutbacks at the IRS.
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How switching broker-dealers led to a tech rethink: Show Me Your Stack
Ryan Salah, of Capital Financial Partners, said his RIA recently decided to add tax planning software into the mix.
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5 lessons for advisors talking retirement with transgender clients
Financial advisors say that retirement planning for transgender clients can come with its own set of considerations, beyond 401(K) contributions or Monte Carlo simulations.
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Tax bill lacks votes in Senate
The prospect of prolonged talks with holdouts threatens Senate Majority Leader John Thune's goal of passing President Trump's tax-cut legislation by July 4.
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Osaic buying CW Advisors with $13.5B in fee-only AUM
The deal marks the purchase of one private equity-owned firm by a much larger one with majority private equity backing.
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Osaic buying CW Advisors, a firm with $13.5B fee-only AUM
The deal marks the purchase of one private equity-owned firm by a much larger one with majority private equity backing.
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Which portfolio withdrawal strategy is best for retirees?
In an analysis stretching back to 1926 of 75 different retirement scenarios, Craig Israelsen compares five different retirement portfolio withdrawal strategies, from a fixed annual amount to the 4% rule and RMD withdrawals.
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Active ETFs now outnumber passive funds in industry watershed moment
Investors have been gravitating toward actively managed strategies, which have absorbed about 40% of industry inflows amid this year's market turbulence — the highest share ever.
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The tax benefits — and complexities — for business owners hiring kids
While the advantages to the parents often receive the most attention, a summer job could pay literal dividends to the children, experts say.
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New tools for donor-advised funds tap the social aspect of giving
Daffy's campaign toolkit upgrade aims to boost donations via social functions: "People are inspired to give when they see others step up," said CEO Adam Nash.
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JPMorgan sues ex-private advisor for soliciting former clients
Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.
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Dumping rules on AI, custody and more, SEC shifts to deregulation
The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.
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Carefull, Alzheimer's Association create education campaign
The fintech and nonprofit join others, including AARP and the ICBA, in working to raise awareness of the financial risks of Alzheimer's and dementia.
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Commonwealth grabs $1.5B team before LPL deal: Advisor Moves
RBC Wealth goes to UBS again to pull over advisors with large AUM tallies; Carson Group buys a firm in Colorado, and Goldman Sachs alumni set up an RIA through Dynasty Financial.
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CFP Board taking deeper dive on AI guidance in financial planning
In February, the organization released its "Generative AI Ethics Guide," which may be updated based on the group's findings.
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What's next for reforms for mandatory RIA arbitration
An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.
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Study tallies interval fund fees that 'gobble up' returns
Net of expenses, many financial advisors and investors could find similar yields and exposure for their portfolios elsewhere, according to a Morningstar study.
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Inflation again? How to get ahead of client concerns this time around
Some analysts see inflation around the corner. Here's how to keep clients calm.
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