A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.
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The firm's digital advice service, to be piloted in early 2017, is a bid to give RIAs unprecedented scale.
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The new recruits are the 10th team to join HighTower this year.
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Fee-only advisors seek clarification from the DoL on compliance requirements.
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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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The expansion of cryptocurrency, stablecoins and tokenized assets means more complexity at tax time, including a brand-new form to manage: 1099-DA.
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Women often evaluate financial decisions through the lens of community and relationships. Advisors who adapt their approach can improve retention and boost referral-driven growth.
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Long-term financial security isn't always served by capturing the biggest account assets. Here's how financial advisors can best serve divorcing clients.
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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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The industry's growth has set records in the number of firms, client assets and M&A deals. These firms stand out from their peers, though.
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Both presidential candidates have floated it, and there are benefits for both workers and employers — though not always how you'd expect.
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The Federal Trade Commission says it's weighing a likely appeal of the ruling.
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