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Weekend Reading For Financial Planners (June 14–15)

Nerd's Eye View

Also in industry news this week: Under its budget proposal for the fiscal year 2026, the SEC expects to be able to examine 11% of RIAs per year, down from 14% in 2024, as it trims staff throughout the organization RIAs lead the way among advisory channels in AI adoption, according to a recent survey, as advisors on the whole see themselves as more (..)

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Weekend Reading For Financial Planners (December 21–22)

Nerd's Eye View

Senate appears poised to pass legislation that would eliminate the long-established WEP and GPO provisions and increase the Social Security benefits of many state and local workers in the process From there, we have several articles on investment planning: While index funds are often viewed as 'passive' investments, advisors can add value for their (..)

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$570B Mutual Fund Manager Moves into ETF Space

Wealth Management

Allspring Global Investments plans to start offering actively managed ETFs.

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Weekend Reading For Financial Planners (January 25–26)

Nerd's Eye View

Nonetheless, given the scale and brand awareness of the wirehouses, and as their own use of fee-based models increases (as opposed to primarily relying on commissions from selling products), competition for clients (and advisors) will likely remain stiff going forward, even amidst the favorable trends for RIAs Also in industry news this week: A recent (..)

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Wealth Management EDGE Podcast: Retirement, Annuities and Regulation Unveiled

Wealth Management

Protecting the average retiree in a confusing landscape of investment planning vs. financial planning.

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CFA Makes 'Most Significant Changes to Program in 60 Years'

Wealth Management

Among other changes, the association will add a wealth management specialization, with additional content on client management, investment planning and the duty of care.

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Weekend Reading For Financial Planners (March 22–23)

Nerd's Eye View

Also in industry news this week: While inter-channel advisor moves often make headlines, a recent study from Diamond Consultants found that most advisor transitions occur between firms in the same channel The number of disciplinary cases and restitution orders from FINRA increased in 2024 (the total amount of fines declined) as the self-regulatory (..)