Financial Advisor Blog - Page 2 - Financial Advisor Transitions

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SEC Report: Fewer Broker-Dealers, Bigger Firms, and Rising Systemic Risks

July 2nd, 2025

The U.S. broker-dealer industry continues to shrink in number while growing larger in scale, according to a newly released report from the Securiti...

Former Edward Jones Advisor Settles Non-Solicitation Dispute for $1.5 Mi...

July 1st, 2025

A former Edward Jones advisor has agreed to pay $1.5 million to his previous firm to resolve claims that he violated employment agreements and impr...

AmeriFlex Group Cuts Ties with Osaic Wealth to Preserve Independence

June 30th, 2025

A reported by AdvisorHub, the AmeriFlex Group has officially parted ways with Osaic Wealth. Both firms characterized the move as a "mutual agreement."

BNY Mellon and Northern Trust Reportedly in Merger Talks

June 27th, 2025

Merger discussions between Bank of New York Mellon Corp. and Northern Trust Corp. have reportedly been underway for over a year, according to a sen...

Advisors Rethink Management Fee Models

June 26th, 2025

According to Financial Planning, the debate over how financial advisors should charge for their services continues to evolve, with a growing number...

RIAs Face a Turning Point as Advisors Demand Independence, Tech, and Trust

June 25th, 2025

A new report from New England Consulting Group reveals widespread frustration within large RIA firms and skepticism about whether today's roll-up s...

New Jersey's Proposed Contractor Rule Could Upend Independent Advisor Model

June 24th, 2025

Independent financial advisors in New Jersey may soon face a serious threat to their autonomy.

Concurrent Investment Advisors Expands with New RIA Minority Investment ...

June 23rd, 2025

Concurrent Investment Advisors has launched RIA Capital Partners, a new platform aimed at taking minority stakes in small to mid-sized registered i...

CFP Board to Examine How to Navigate AI's Role in Financial Planning

June 19th, 2025

The CFP Board recently launched an AI Working Group to examine how artificial intelligence can enhance financial planning while preserving the prof...

LPL Financial Leads Industry in Aggressive Advisor Recruiting

June 18th, 2025

In the fiercely competitive world of wealth management, few firms have leaned into advisor recruiting as aggressively as LPL Financial, according t...

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Mercer Sues Former San Diego Advisors and Savvy Wealth Over Alleged Clie...

July 18th, 2025

Mercer Global Advisors has filed suit against three former San Diego-based advisors and their new employer, Savvy Wealth, alleging coordinated effo...

JP Morgan Seeks Restraining Order Against Ex-Advisor Accused of Soliciti...

July 16th, 2025

JPMorgan Chase is asking a Nevada federal court to block a former advisor from allegedly soliciting its clients to follow her to a new firm.

Why Gen X Holds the Keys to America's Financial Future

July 15th, 2025

For years, financial services firms and consumer brands have focused their attention on Baby Boomers and Millennials, often leaving Generation X in...

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