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They will take "senior advisor positions" upon Clayton, Dubilier's deal to take the RIA consolidator private — a deal netting them tens of millions of dollars.
August 7
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Thomas M. Chadwick steered older adults into a volatile leveraged real estate product nearly wiped out by the pandemic, according to state regulators.
August 4
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Interest rates, compensation and costs relating to the firm's pending deal to go private tore a hole in the RIA aggregator's earnings for the second quarter.
August 3
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The agency pushed back required minimum distributions for most beneficiaries again for 2023, but the old "stretch" strategy is long gone.
August 3
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Garcia will take on the task of extending the banking giant's reach in Miami.
August 2
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The move comes amid predictions that clients will increasingly base wealth management decisions on online testimonials and ratings.
August 2
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Lisa Opoku follows Julian Salisbury out the door of the Wall Street stalwart.
August 1
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After a quarter in which the institution helped the firm reap a record profit margin, the company followed rival Edward Jones in withdrawing its application.
August 1
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The independent RIA looks to the Wall Street stalwart for its expertise in alternative investments.
August 1
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The CFP certification costs thousands to finance. Industry groups hope that a new bill will make it attainable for more people.
July 31
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A prominent compliance consultant lists the top reasons firms turn to outside experts for regulatory assistance.
July 31
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The change follows multiple reorganizations of the Wall Street giant's asset management division.
July 31
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The firm told the SEC years ago about employees' ability to improperly access certain information, though it had no evidence anyone had done so.
July 30
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Tax experts testified during a hearing about the Employee Retention Credit and the issues they and their clients are facing.
July 28
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The company's earnings soared in the second quarter. Dan Arnold's team has more ideas in the works for further growth.
July 28
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As revenues fell for other companies, Raymond James' earnings reached new heights — including for its wealth management division.
July 27
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JPMorgan, which accounted for 9% of overall ETF flows in 2023 so far, is eyeing Blackrock's ETF throne.
July 27
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Serving over half of America's billionaires wasn't enough for the country's largest bank.
July 26
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In the second quarter of 2023, Stifel's profits were down from last year — except for its Global Wealth Management unit, which saw record growth.
July 26
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The Wall Street regulator is targeting technology that offers advice that might be against clients' best interests — even if advisors are unaware of the conflict.
July 26
