The Evolving Role of Financial Advisors

February 19th, 2024
A recent survey conducted by the FINRA Foundation and Fontes Research underscores the significant impact of financial stress on various aspects of ...

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FinCEN Proposes Anti-Money Laundering Rules for Investment Advisors Amid...

February 16th, 2024
Regulators are considering extending anti-money laundering laws to include investment advisers, a move that could significantly impact the complian...

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Morgan Stanley Announces Job Cuts Amid Wealth Segment Challenges

February 15th, 2024
Morgan Stanley, under the leadership of Chief Executive Officer Ted Pick, is set to reduce its workforce by several hundred positions, marking the ...

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LPL Financial to Offer Retention Bonuses for Atria Wealth Solutions Advi...

February 14th, 2024
Following the announcement of its acquisition deal with independent broker-dealer Atria Wealth Solutions, LPL Financial is preparing retention bonu...

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LPL Financial Acquires Atria Wealth Solutions

February 13th, 2024
LPL Financial has announced its acquisition of Atria Wealth Solutions, marking a significant move in the financial services landscape.

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US Supreme Court Eases Path for Whistleblower Retaliation Claims

February 12th, 2024
In a significant ruling, the US Supreme Court has simplified the process for whistleblowers seeking legal recourse against retaliation under federa...

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Navigating Fee Structures in Financial Advisory Firms

February 9th, 2024
As financial advisors increasingly explore alternative fee structures beyond the traditional 1 percent of assets model, they are reshaping how they...

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UBS Wealth Management Americas faces Profit Decline and Advisor Reduction

February 7th, 2024
UBS Wealth Management Americas encountered significant challenges in the final quarter of the year, with profits plummeting by 72 percent compared ...

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Preferred Alternative Investments in the Current RIA Landscape

February 6th, 2024
Advisers emphasize viewing alternatives in the context of their role within clients' overall portfolios, prioritizing their function over the mere ...

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JPMorgan's Wealth Management Achieves Record Inflows and Annual Profit H...

February 5th, 2024
In a year marked by JPMorgan's record-breaking annual profits in the banking sector, the financial giant's wealth management business has notched a...

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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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