Best of the week: A murder charge and FINRA ban; the 4% rule on the ropes; and a new peril to going independent

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Financial Planning

Financial Planning

The leading resource of news, data and analysis for the wealth management industry.

发布日期: 2022年11月6日

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These were the top stories from Financial Planning over the last week.

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• 2025年3月7日

  The looming advisor crisis; Edward Jones wins $3.5M arb award against ex-advisors, Commonwealth; AI strategy for advisors

  INDUSTRY NEWS: Too much demand, not enough supply? Yes, wealth management revenue is soaring, but a new McKinsey &…

  15
• 2025年3月6日

  Schwab raises its RIA referral fees; Osaic loses $1B team to Ausdal; the AI tools advisors use — and actually like

  CLIENT REFERRALS: The price of participating in the Schwab Advisor Network’s RIA referral is on the rise — but what…

  8
• 2025年3月5日

  What TCJA tax shifts mean for advisors, clients; many retirees to see Social Security boosts; tech can help prioritize client experience

  TAX: As Congress weighs trillions in tax cuts, Republican divisions over spending and other issues could delay…

  7
• 2025年3月4日

  Tesla shorting case could cost UBS $92M; weighing pros and cons of life insurance; the tax hit of ‘un-retiring’; tech tools for client divorce

  REGULATION AND COMPLIANCE: For recommending that clients short Tesla stock, UBS and one of its brokers were hit with a…

  7

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• 2025年3月3日

  Raymond James’ retention strategy; finding rich clients outside big cities; how to handle client anxiety on market volatility; ethics and AI

  INDUSTRY NEWS: How do you measure success in wealth management? Raymond James Financial has shifted away from advisor…

  27
• 2025年2月28日

  Behind the top young brokers of past 5 years; LPL snags $1B+ Wells Fargo team; fintech firm expands educational programs

  We reviewed 5 years of 40 under 40. Here's what we learned: What makes the top young brokers so successful? Advisors…

  13
• 2025年2月27日

  Ameriprise loses restraining order bid against LPL; ‘free money’ for young savers; closing the gap for women’s retirement; helping gig workers

  Judge denies Ameriprise restraining order in LPL recruiting dispute: Ameriprise failed to provide evidence of…

  22
• 2025年2月26日

  How to land next-gen clients; inside the Transparent Advisor Movement; DAFs and private foundations - 2 top charitable-giving strategies

  Keeping the kids: An advisor's guide to retaining next-gen clients: To capitalize on the coming great wealth transfer…

  6
• 2025年2月25日

  How advisors can help borrowers on student loan payments; the coming wealth M&A boom; new site for tax-efficient ETFs; a primer on Islamic finance

  How to advise clients on Biden's SAVE plan before it disappears: Borrowers should prepare for the imminent end of the…

  3
• 2025年2月24日

  Retirees hesitate to spend savings; balancing growth and dividend investing; Keller on CFP evolution; new services can bring headaches

  Retirees are reluctant to spend savings. Researchers say that's a problem: Despite having sufficient funds, many…

  4

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