Two companies came together and dropped an outside clearing firm as the team led by CEO Cat Davies enters an increasingly competitive area of the industry.
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The firm claims it is also missing important documents related to a large institutional client.
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Upon closing, the deal will push Wealth Enhancement’s advisor head count beyond 70 financial planners.
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Tax planning is part of financial planning — but pay attention to the terms of your partnership.
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In this month's FACO, we asked how much time advisors spent on their firm's brands, what their marketing objectives were and their main sources of new clients.
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Nearly two-thirds of advisors surveyed this month said that internal training programs or workshops were offered by their firms.
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Across the industry, financial advisors are anticipating a busy 2026. From consumer protection cuts to AI regulation, wealth management could look very different a year from now.
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Many advisors haven't yet begun putting together an exit plan. Experts say there are common features and defined timelines that can help make it work.
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There's a lot of passion among advisors who, I think, suspect that there will eventually be standards that don't include them.
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Planning for retirement isnt just about hitting the magic number.
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Pretirement described was supposed to be for those who were somewhere between the rat race and the rocking chair," but over the last few years, the concept - if not the name itself - has begun to take hold among a much broader and younger - group.
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An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.
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An annual RIA compensation survey suggests that firms are paying a pretty penny for financial advisors — but reaping healthy profits.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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Alex Astengo is UK country manager for Root and has significant experience working for SaaS platform-based businesses, which offer solutions to insurers, MGAs and brokers. In his role at Root, Alex is developing Root's UK presence with the aim of becoming the go-to platform for insurance businesses intent on growing their digital offering.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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Mazi Bahadori is the chief operations officer at Altruist.
A seasoned veteran in financial technology, he previously served as the CCO and director of operations for Aspiration. Prior to this, he worked for PIMCO as VP of Legal and Compliance, for Morgan Stanley as a financial advisor and for Goldman Sachs as a government affairs associate.
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