The popular industry recruiting and retention barometer provided another window into the challenges facing LPL Financial with its latest major acquisition.
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As wealth management firms rush to keep up with new technological developments, one common oversight is not testing the tech with the people most likely to use it: the advisors.
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The National Association of Treasurers launched a new tool that allows individuals to compare the features of different states' ABLE programs.
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Huntington Investment Company is accusing a former advisor of resigning with no advance notice and then using confidential information to drum business from ex-clients.
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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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It's a hard truth that minorities and women are not well-represented in the financial planning industry. It's also a business problem.
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Free trading doesn’t help investors, it only encourages bad behavior.
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Take snafus from other financial institutions as fire drills to stress test your third-party providers.
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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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Every independent RIA has unique access to one niche: the prospects in their own ZIP code. Smart advisors can turn that information into a community-based customer pool.
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Brady Lochte is the founder and financial advisor at Axon Capital Management, a fee-only fiduciary RIA based in Georgetown, Texas.
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