Michael Kitces' #FASuccess Podcast: Reese Harper Talks Elements

Jul 21, 2020

Reese Harper of Dentist Advisors explains his Elements financial planning process, which boils down a client’s situation into 12 key metrics.

UBS Settles with SEC for $10 Million Over Municipal Bond 'Flipping'

Jul 21, 2020

UBS to pay more than $10 million to settle charges that it prioritized municipal bond sales to flippers and to build its own inventory.

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The RIA Roadmap: Key steps to going independent

Jul 29, 2021

Are you ready to go independent? Thousands of advisors have made the transition. Join them with this how-to guide.

SEC Nominees Face Questions on Reg BI, COVID-19 in Senate Hearing

Jul 21, 2020

Hester Peirce and Caroline Crenshaw appeared before a remote hearing of the Senate Committee on Banking, Housing, and Urban Affairs to discuss their concerns and ambitions for the commission's future.

What’s the Real Meaning of 'Wealth?'

Jul 21, 2020

Hint: It has nothing to do with money.

SEC Charges Virginia Advisor With Stealing $6 Million From Clients

Jul 20, 2020

Over the span of 12 years, Michael Barry Carter transferred about $6 million from brokerage and elderly investment advisory clients into his own bank account, the SEC claims.

Broker Chased High Commissions From Illiquid REITS: Galvin

Jul 20, 2020

The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.

Cure for Branch Exams During COVID-19: A Hybrid Approach

Jul 20, 2020

A hybrid examination would be a viable, if temporary, approach to comply with regulations while protecting the health and safety of examiners, branch employees and advisors.