Facebook Boosting Crash Course

Oct 06, 2021

There are seemingly countless options to consider, but it’s advisable to keep it fairly broad.

New NASAA Model Rules Target Unpaid Arbitration Awards

Oct 06, 2021

If states adopt the rules, they could bring the hammer down on advisors and firms that shirk paying the fines.

Three Factors Driving Wealth Management M&A in 2021

Oct 06, 2021

Teams, technology and taxes are behind the rising wave of deals, writes the president of Merit Financial Advisors.

Wealthies Circle Podcast: Tony Leal on the Past, Present and Future of Financial Planning

Oct 06, 2021

Envestnet MoneyGuide President Tony Leal discusses how 'embedded finance' will push the concept of financial planning far wider in the future—bringing both competition, and opportunity, to financial advisors.

Gensler: SEC Likely to Propose Climate Disclosure Rule in Coming Months

Oct 05, 2021

The SEC chair also spoke about cryptocurrency, agency resources and Regulation Best Interest before the U.S. House Committee on Financial Services.

Michael Kitces' #FASuccess Podcast: How John Kennedy Uses an EOS to Build His Business

Oct 05, 2021

CandorPath Financial's John Kennedy explains how he and his partner have implemented Gino Wickman's Entrepreneurial Operating System as a framework to rapidly scale up their ensemble practice.

SEC: California Firm Misled Clients About Fee Markups

Oct 04, 2021

TCFG's advisory clients paid fee markups as often as 60% of the time in more than 10,000 executed transactions over the course of several years, according to the SEC complaint.

SEC, DOJ Claim Illinois Advisor Stole Nearly $1M From Elderly Clients

Oct 01, 2021

Naseem Mohammed Salamah is charged with stealing nearly $970,000 from three elderly clients and spending the funds on vacations and luxury car leases.