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The SEC is also planning on-site visits to speak with those executives in charge of safeguarding assets.
The action comes on the heels of the Bernard Madoff $50 billion and R. Allen Stanford $8 billion fraud.
The Ensemble Practice's annual growth and profitability report reveals a "scissors shape" between the two, based on a survey of more than 170 firms.
Retaining Bartholomew & Company comes as a big victory in LPL's bid to hold on to AUM and advisors from its acquisition last year of Commonwealth Financial Network.
Amid uncertainty with inflation and political concerns with midterm elections, the latest Financial Advisor Confidence Outlook shows that advisors have become more positive after a dip in June.
The federal scholarship tax credit is set to take effect on Jan. 1, 2027, with proposed regulations expected by the end of September.
As AI becomes increasingly integrated into RIAs and the financial planning industry, here are what advisors said can never be replaced by technical advances.
For financial advisors, the surge in new wealth highlights continued opportunity for those targeting prospects coming into sizable sums of money.
