LATEST
- UBS chairman's top-secret prep paid off in Credit Suisse moment
- Personalized investing and 'polite disruption,' with Seeds Investor CEO Zach Conway
- Nick Thacker of Skience wants to build cool tech and prepare advisors for whatever is next
- Millennials are seeking financial advice earlier: Ameriprise study
- Halbert Hargrove's Kelli Kiemle wants to see the industry embrace a people-first approach
- Latest SEC budget request emphasizes an enforcement agenda
VOICES
Steve Voss
Choosing the right health plan for your new firm
Steve Voss
Eric N. Mann
QPRT: A 'heads you win, tails you break even' proposition for clients
Eric N. Mann
Ranjit S. Samra
Toward a 'platform mindset': 3 foundational wealth management tech trends
Ranjit S. Samra
CE QUIZ
Continuing Education Credit — March 2023
Continuing Education Credit — February 2023
Continuing Education Credit — January 2023
PODCAST
Using tech to help advisors be more human more often, with Bento Engine CEO Philipp Hecker
Thematic ETFs and the great wealth transfer, with Sylvia Jablonski of Defiance ETFs
Why you should always bring your joy to work, with Orion's Brian McLaughlin
RIA LEADERS
RIA Leaders 2022: These are the 20 largest fee-only RIAs
RIA Leaders 2022: Financial planning clients are undefined, undercounted and underserved
RISING STARS
These 6 early-career planners are FP's 2022 Rising Stars
Career-changing immigrant financial advisor finds her path
FP Rising Stars 2021: Winners' acceptance speeches
RESEARCH
Exclusive research Is your tech agenda set for safety or standout growth?
Exclusive research A year of change, not revolution: Finance fine-tunes the future
Exclusive research Reassessing Infrastructure Investing Amid Global Market Volatility
TECH SURVEY
The tech investment squeeze
Tech Survey 2021: Trends shaping the industry post-pandemic
5 questions about FP’s annual tech survey
SPONSORED BY FIDELITY INVESTMENTS
IBD ELITE
IBD Elite: The 15 biggest independent brokerages in wealth management
Video Why do financial planners need legal recognition?
Video How brokers and brokerages are changing, not going away
IBD Elite 2022: Which independent brokerages have the biggest RIAs?
IBD Elite 2022: The firms with the most female financial advisors
IBD Elite 2022: Deep dive into independent wealth manager data
IBD Elite 2022: Brokerages are morphing, not going away
BROKERAGE COMPENSATION
Best advisor pay for the $2M producer
Best advisor pay for the $1M producer
Best advisor pay for the $600K producer
Best advisor pay for the $400K producer
What to expect in financial advisor pay in 2022
TAX
Direct indexing's biggest lure isn't a customized investment portfolio
A new Morningstar report says that tax benefits outstrip the appeal of creating and owning a bespoke basket of stocks.
By Lynnley Browning
April 7
A bespoke basket of stocks can yield tax boosts not available in funds that hold the same shares.
RETIREMENT
Almost half of Americans cash out their 401(k)s when changing jobs
More than 41% of U.S. workers drain their retirement savings when they quit or get fired, according to a new study. Why?
By Nathan Place
April 6
FINTECH
What to expect at INVEST 2023: The power and passion that comes with building a niche advisory practice
This year's conference features sessions centered around improving the client experience, future proofing your business and understanding the regulatory environment.
By Justin L. Mack
April 6
REGULATION AND COMPLIANCE
5 banned firms in his past, a broker now faces fraud charges
The information is technically out there, but FINRA critics contend the regulator should be doing more to make the public aware of advisors with dubious pasts.
By Dan Shaw
April 6
FINRA headquarters
REGULATION AND COMPLIANCE
Merrill's $9.5M SEC fine highlights need for advisors to watch basic disclosures
The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.
By Victoria Zhuang
April 6
Merrill-Lynch-sign-Bloomberg-News
40 BROKERS UNDER 40
TOP 40 UNDER 40
These are the top 40 brokers under 40 in 2023
Financial Planning announces its 2023 class of the top 40 most productive employee wealth management brokers under age 40.
By Victoria Zhuang
February 1
TOP 40 UNDER 40
Top advisors reveal how wirehouses can retain the best young talent
Four winners of this year's Top 40 Brokers Under 40 overall and regional lists, from Morgan Stanley, Merrill Wealth Management, William Blair and RBC, joined industry experts in sharing how big brokerages can hold onto young advisors in a red-hot labor market.
By Victoria Zhuang
February 1
TOP 40 UNDER 40
These are the top 40 regional brokers under 40 in 2023
Financial Planning announces its 2023 class of the top 40 most productive employee brokers under age 40 at regional firms.
By Victoria Zhuang
February 1
SEE ALL
MORE FROM FINANCIAL PLANNING
FINTECH
Flourish launches new Redtail Technology integration: Wealthtech Weekly
Plus, Savvy Wealth launches a direct indexing tool, AssetMark adds experience to its roster and Asset-Map teams up with Morningstar.
By Justin L. Mack
April 6
REGULATION AND COMPLIANCE
RIA settles SEC case over risky alternatives that turned out to be fraud
A 20-year veteran advisor sold more than $7 million worth of investments pitched by an accused fraudster connected to his friend from Bible study, the regulator said.
By Tobias Salinger
April 6
SEC headquarters, Bloomberg News
REGULATION AND COMPLIANCE
Goldman Sachs gets $3M FINRA fine for 60 million short sale errors
The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.
By Victoria Zhuang
April 5
goldman-sachs-bl071913b-365.jpg
PRACTICE AND CLIENT MANAGEMENT
Free NIL Long Game course teaches NCAA athletes financial literacy
The program, offered by a financial wellness coaching service, joins a burgeoning patchwork of wealth management support systems for student-athletes.
By Tobias Salinger
April 5
NIL Long Game, Financial Finesse
REGULATION AND COMPLIANCE
Just before deadline, FINRA redoes home work assignment
The last-minute changes would loosen inspection requirements but add limits to the type of business brokers can do from home.
By Dan Shaw
April 5
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