Wells Fargo Faces Class Actions Lawsuit Over Cash Sweep Program Interest...

August 5th, 2024
Wells Fargo Advisors has been hit with a class action lawsuit over the interest rates it offers in its cash sweep program, despite recent rate incr...

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Effective Client Onboarding: Laying the Foundation for a Successful Fina...

August 2nd, 2024
Financial Planning has published a list of onboarding questions to ask clients to effectively begin the financial planning process.

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Why Investors Stay: The Emotional and Financial Motivations Behind Loyal...

August 1st, 2024
Research from Morningstar reveals that investors' loyalty to their financial advisors is driven more by emotional reasons than financial returns. 

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FINRA's 2024 Industry Snapshot: Key Takeaways

July 31st, 2024
The Financial Industry Regulatory Authority (FINRA) has unveiled its 2024 Industry Snapshot, a comprehensive statistical report detailing the curre...

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Michael Kitces on the Future of Financial Advice

July 30th, 2024
At the recent Morningstar Investment Conference, renowned blogger and speaker Michael Kitces led an insightful session on the evolving state of fin...

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Former Financial Advisor Barred by FINRA for Promissory Note Sales

July 29th, 2024
David Tall, a longtime financial advisor, has been barred from the securities industry. According to InvestmentNews, this decision follows his disc...

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KKR to Acquire Janney Montgomery Scott from Penn Mutual

July 26th, 2024
KKR, a major private equity firm, announced its acquisition of Janney Montgomery Scott from The Penn Mutual Life Insurance Company.

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Key Strategies for Top-Performing RIAs in 2024

July 25th, 2024
Top-performing Registered Investment Advisors (RIAs) employ diverse strategies to achieve superior performance, according to Charles Schwab's 2024 ...

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FINRA Report Highlights Trends in Broker and Brokerage Firm Dynamics for...

July 24th, 2024
According to AdvisorHub, FINRA has released its annual "2024 Industry Snapshot," which reveals significant trends in the broker and brokerage firm ...

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Words That Differentiate: Enhancing Your Message in Wealth Management

July 23rd, 2024
In a competitive market, how do you differentiate yourself? Effective communication often hinges on the words you choose.

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Blog

NASAA Approves Amendments to REIT Guidelines to Strengthen Investor Prot...

September 11th, 2025
The North American Securities Administrators Association (NASAA) has approved sweeping amendments to its Statement of Policy Regarding Real Estate ...

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Tips to Build Relationships at Nonprofit Events

September 10th, 2025
September marks the unofficial start of gala season in the nonprofit sector, bringing together high-net-worth individuals, community leaders, and p...

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Next-Generation Investors Poised to Leave Advisors Amid Wealth Transfer

September 9th, 2025
Years of effort by financial advisors to retain younger heirs during the "great wealth transfer" have yet to produce the intended results.

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