Financial Planning - September 2021

IBD ELITE 2021

Despite smaller growth amid the coronavirus last year, FP’s 36th annual survey revealed the significant level of business raked in by 46 wealth managers.

The delicate balance between the No. 1 IBD and its ‘critical clients’ is evolving as the industry changes.

Independent broker-dealers can find examples for how best to serve, hire, support and promote a historically underrepresented group after a year marked by hate.

His embrace of volatile cryptocurrencies for mainstream investors is a major shift from the cautious world of fiduciary advice that’s synonymous with his namesake firm.

Adjustments to the organization’s sanction guidelines and procedural rules are the latest step in its ongoing enforcement overhaul.

The number of registered investment advisors in the Sunshine State is up 27% over the last 5 years.

Several of Cure’s staff have allegedly resigned since the comments came to light.

She made headlines when she became chairwoman in 2019, but quietly exited two years later when a marketing campaign created a conflict of interest.

Firms automating a once little-known investment strategy have become one of the hottest areas for wealthtech acquisitions.

Clients depend on us to know not just how to handle their investments, but why they are investing in the first place.

The nonprofit is serious about weeding out bad actors among CFP holders, writes Tom Sporkin, the official hired to run its compliance efforts.

Eliminating the step-up in basis for calculating taxes may not become law, but it’s worth exploring options with your small enterprise-owner clients, says Sophia Duffy.

Deep value managers appear poised to outperform as the country sheds challenges posed by the pandemic, writes Spencer Logan.

The inflation-tethered increase is a lifeline for many seniors receiving federal benefits, but there are potential drawbacks.

Trusts aren’t just for the .01%, as some advisors sell mass affluent and high-net-worth clients on their tax benefits.

Using RMDs to pay the taxes due on a rollover can ease the psychological pain of forking over money to the IRS.

This new list celebrates 10 financial planners early in their careers who are on a path to change the industry.

Tammy Williams spent 20 years in corporate America before pivoting to giving clients advice in 2017.

Enrique Perez started helping his immigrant parents with their finances in college. Now an advisor, he wants to do the same for others in similar disadvantaged situations.

Jude Erondu wants to help his oil-ravaged homeland, and other developing areas, through sustainable investing.