Financial Advisor Blog - Page 27 - Financial Advisor Transitions

Advisor Files Lawsuit Alleging Mismanagement and Retaliation in Failed T...

September 27th, 2024

An advisor in a failed transition has filed a lawsuit against the firm he was transitioning to (LPL), as well as the firm he had resigned from (Cit...

SmartAsset Report Highlights Fastest-Growing RIAs in Competitive Market

September 26th, 2024

ThinkAdvisor has reported on the latest report issued by SmartAsset covering the fastest-growing RIAs.

CFP Board Launches Campaign to Address Financial Planner Shortage and Wo...

September 25th, 2024

The CFP Board has launched a new digital ad campaign, "Quite Possibly the PerfectJob", aimed at encouraging young people to consider careers as CER...

Wealth Enhancement Group Raises Flat-Rate Consulting Fees Amid Expanding...

September 24th, 2024

Wealth Enhancement Group, a major hybrid registered investment advisor (RIA) managing $72 billion in client assets, has increased its maximum annua...

Outsourced Asset Managers Gaining Popularity Over In-House Models Among ...

September 23rd, 2024

AdvisorHub reports that a study by Cerulli Associates reveals that financial advisors are increasingly recommending outsourced asset managers' mode...

RIA Firms Crafting Creative Compensation Strategies to Attract and Retai...

September 20th, 2024

According to FinancialPlanning, RIAs are moving past complex pay grids to recruit and retain top financial advisors.

Advisers Focus on Older Clients, But Struggle to Engage Younger Investors

September 19th, 2024

As reported by ThinkAdvisor, a recent InspereX survey reveals that financial advisors are overwhelmingly focused on older clients, with 59 percent ...

RIA Firms Face Profit Margin Pressure Despite Stable Fees

September 18th, 2024

Registered Investment Advisors (RIAs) are navigating a changing landscape as traditional asset management services, such as stock picking, lose val...

SEC Bars Financial Advisor for False Claims of $11 Trillion in Assets

September 17th, 2024

The Securities and Exchange Commission (SEC) has barred Ruben Cedric Williams. As reported by InvestmentNews, Williams, the CEO, chief compliance o...

The Rise of Large Branch Offices in the Wealth Management Sector

September 16th, 2024

In recent years, large branch offices, managing billions in client assets, have increasingly separated from their broker-dealers.