Financial planning activities are playing a growing role in the service offerings of registered investment advisors. An annual survey of the RIA industry by the Investment Adviser Association and National Regulatory...
Advisors who reached out to investors during the August market turmoil say they found a less panicked clientele than in 2008. Warning: The longer market volatility lasts, the less tolerant clients will become.
Compliance conundrums are growing in the minds of financial advisors mulling independence. An Aite Group survey last spring found that 53 percent saw compliance as extremely challenging or very challenging to...
Charles Schwab has long said that it doesn’t solicit the investor clients of the financial advisors who custody assets with the firm. It’s a stance it repeated just a month ago when discussing its upcoming...
Assets in college-targeted 529 savings plans are growing at double-digit rates, but financial advisors appear to be on the sidelines when it comes to working with clients on the product, a new report by Fidelity...
The Certified Financial Planner Board of Standards has decided that applicants for the coveted CFP mark must take a controversial 45-hour “capstone” course, starting next year, before being allowed to sit...
The Pagnato-Karp Group, with $1.2 billion in assets, likens HighTower’s model to those that have leveled the proverbial playing fields in other industries.
