Latest Articles


LPL Sweetens Deal for Advisors Joining its Hybrid RIA... But There's a Cost

Last updated: 12/12/2018

Advisors who want to join LPL Financial’s hybrid RIA will no longer face a minimum asset requirement. But anyone bringing less than $25 million will have to pay up, according to

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RIA Compliance Insights from the 2018 NASAA Enforcement Report

Last updated: 12/12/2018

On October 10, 2018, theNorth American Securities Administrators Association ("NASAA")released its 2018 enforcement report which summarizes securities industry enforcement actions

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Elon Musk Had a Deal From the S.E.C. It Unraveled in a Morning.

Last updated: 12/12/2018

Elon Musk Had a Deal From the S.E.C. It Unraveled in a Morning. Image Steven Peikin and Stephanie Avakian announcing the Securities and Exchange Commission’s lawsuit against Elon

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Time to rebalance? - Fidelity Investments

Last updated: 12/12/2018

Rising stock prices may have caused your mix of investments to change. You should review your plan to make sure your mix makes sense. Periodically rebalance to keep your risk level

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Tribute To Lisa Chedekel, An Extraordinary Journalist

Last updated: 12/12/2018

Lisa Chedekel was a treasure who found me. We launched the Conn. Health I-Team in 2010 after working together for over 30 years, first at the New Haven Register and later at the Ha

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Justifying Financial Advisor Fees

Last updated: 12/12/2018

With increasing media scrutiny, regulatory pressures and the rise of robo-advisors, fees are once again in the public eye. Regardless of the catalyst, there are two primary reasons

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Puerto Rico power outage set to hurt global reinsurers

Last updated: 12/12/2018

Sept 29 (Reuters) - Puerto Rico’s island-wide power outage will mean a surge in insurance claims for lost business income that will increase the already high cost of damage cause

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The Latest In Financial Advisor #FinTech (August 2017)

Last updated: 12/12/2018

Welcome to the August issue of the Latest News in Financial Advisor #FinTech – where we look at the big news, announcements, and underlying trends and developments that are eme

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Is inertia holding you back? 5 questions to ask yourself - Diamond Consultants Financial Advisor Recruiters

Last updated: 12/12/2018

As recruiters, we talk with hundreds of advisors each month, the majority of whom tell us that they are very happy and have no intention of making a move. Yet, often these same adv

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How Caregivers Can Plan for Retirement

Last updated: 12/12/2018

When my elderly mother moved into our home early last year, there were so many things to think about: installing handrails in the bathroom, ensuring pathways could accommodate her

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