Financial Advisor Blog - Page 11 - Financial Advisor Transitions

Former Edelman Advisor Challenges Non-Solicitation Agreement in Federal ...

August 26th, 2025

A former Edelman Financial Engines advisor has filed suit in Delaware federal court to have a court declare as void his non-solicitation agreements.

AI Reshapes Client Acquisition in Wealth Management as Referral Model De...

August 25th, 2025

The traditional referral-driven model that fueled the wealth management industry is losing momentum, according to Wealth Management.

Edward Jones to Cut Home Office Staff Amid Restructuring Efforts

August 22nd, 2025

Edward Jones confirmed plans to reduce its home office workforce, according to an internal memo first reported by the St. Louis Business Journal.

NASAA Proposes Model Rule to Align State and Federal Marketing Standards...

August 21st, 2025

The North American Securities Administrators Association (NASAA) announced a proposed model rule designed to harmonize state marketing regulations ...

Affluent Investors Rely on Online Research and AI When Choosing Financia...

August 20th, 2025

ThinkAdvisor recently covered a study by Wealthtender, which highlights how clients approach the process of choosing a wealth advisor.

LPL Financial Commits $80 Million to Technology and Compensation Upgrades

August 19th, 2025

LPL Financial announced major investments in its advisor platform during its Focus 2025 conference, pledging $50 million to overhaul its compensati...

How Financial Advisors Can Win Over Prospects in the First Meeting

August 18th, 2025

When a prospective client agrees to meet with a financial advisor, that person is doing so for a reason. A recent InvestmentNews story explores thi...

Proposed New Jersey Rule Could Drive Out Independent Financial Advisors,...

August 15th, 2025

A proposed change by New Jersey's Department of Labor to the rule defining whether a worker is an employee or an independent contractor is drawing ...

Edward Jones Faces Slower Asset Growth Amid Industry Headwinds

August 14th, 2025

Edward D. Jones & Co. reported slower asset growth in its latest quarterly filing, citing challenges such as an aging client base, generational wea...

Wells Fargo Advisors Adopts Garden Leave Policy for Certain Managers

August 13th, 2025

Wells Fargo Advisors has implemented a garden leave policy for branch and complex managers, as well as other employees holding specific corporate t...