Online News for Financial Advisors, RIAs, Investment Advisors, Financial Planners & Wealth Managers

Kitces Petitions SEC To Draw Bright Line Between Brokers And Advisors

The XY Planning Network wants the SEC to clarify who can and can't call themselves an advisor.
Flat Fees Used By More Than A Quarter Of RIAs, Survey Says

Among Advyzon clients, flat-fee revenue models were somewhat more popular with larger firms than smaller firms.
Finra To Scrutinize Brokers' Use Of Social Media, Influencers

The regulator is asking firms for a range of information on how they use social media to recruit clients.

Inside the
current issue

Regulators Get Serious
by Tracey Longo
SEC Chairman Gary Gensler ushers in a tough securities enforcement era.
Gray Divorce And Avoiding Retirement Ruin
by Catherine Seeber, Kimberly Foss
How do you handle the transitions when older people divorce and find new partners?
The Contemplative Practice
by Ross Levin
If we take time to reflect on ourselves, it will help us reflect better on clients.
Is The Bond Market Dead Wrong On Inflation?
by Evan Simonoff
The "paycheck component" of inflation might be getting overlooked.
Talking Shop
by Russ Alan Prince, Brett Van Bortel
You can help your clients navigate tough times by hosting a workshop.
Covid's Leadership Wake-Up Call
by Steve Gresham
Employees, customers and competitors need your focus.
The ESG Expected Returns Story Isn't What You Think
by Dana D'Auria
The themes in environmental, social and governance investing today are much broader and more far-reaching than socially...

Breaking Away? Expect The Unexpected
By David Israel
Before transitioning, here's how advisors can navigate that “softer” side of breaking away.
Insurance Coverage Soaring To New Heights
By Chris Lack
As billionaires start counting rocket ships among their new toys, it opens up some new insurance possibilities.
Overcoming Reasons Why Friends Aren't Doing Business With You
By Bryce Sanders
How to convince friends to do business with you.