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Advisor Group, Raymond James, LPL, New York Life, Stone Point Capital, and other news and moves of the week in the financial advice world.
April 30
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The White House’s sweeping proposal to raise taxes on the wealthy will likely force advisors to get creative as they structure sales of their practices.
April 29
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The litigation reveals how wealth managers’ deals with product sponsors work and how one with a former Voya unit went awry.
April 29
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The company upped its recruiting package last year, a change that has been “very well received by prospective advisors,” according to the CEO.
April 29
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It’s time to revisit your firm’s protocols to ensure they make sense given widespread tech adoption during the pandemic, writes Wes Stillman.
April 28
RightSize Solutions -
The firm’s recruiting is also gaining steam, despite the ongoing impact to its bottom line from low interest rates.
April 28
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The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.
April 28
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The Swiss bank added a sprinkle of new US advisors for the first time in years, amid record quarterly profits and plans for global job cuts.
April 27
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The RIA roll-up could make as many as a dozen deals in 2021 through the new source of capital, CEO Marty Bicknell says.
April 27
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In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.
April 27
