With more than $8 billion in assets under advisement, Simon Quick can comfortably serve high net worth clients. And it's managed to get there without private equity.
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Paul Atkins said he doesn't like regulation by enforcement, a message that broker-dealer groups have spent the last several years longing to hear.
May 21
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Lack of awareness, fear of mistakes and penalties, and the cost of filing are preventing many families from claiming millions of dollars in tax credits.
May 20
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The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
May 20
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Gabriel Kaplan of Wealth Habits used to give his virtual assistant around 20 hours per month of work. AI tools in his tech stack have greatly reduced that amount.
May 20
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Conventional wisdom says that financial advisors choose to work in areas based on factors like the presence of wealthy families. That doesn't seem to be the case in a post-pandemic world.
May 20
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
Across the last five years of Financial Planning's 40 under 40 list, a few key insights have emerged about where the industry is at — and where it's headed.
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The program to coach Division I players on wealth management concepts comes as they navigate new layers of complexity from new sources of potential pay.
June 4
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Investor advocates and others worry that recent changes to who can serve on FINRA panels will exclude arbitrators most likely to be sympathetic to ordinary investors.
June 4
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Senate Republican Leader John Thune has been a vocal critic of the 40% estate tax paid by the wealthiest U.S. individuals when they die.
June 4
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Upgraded features include AI-driven estate document analysis, a redesigned questionnaire-driven workflow and observations categorized by analysis and guidance, among others.
June 3
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Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.
June 3
