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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 -
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 -
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 28RightSize Solutions -
The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.
April 28 -
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 -
In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.
April 27 -
Biden’s proposal to raise capital gains taxes on investments profits would hit many business owners, not just ultra-wealthy investors.
April 27 -
Bailard appointed Sonya Thadhani Mughal under a succession plan and a series of moves unveiled by the wealth and fund company.
April 26 -
Advisors who leave wirehouses face key tax considerations to become successful RIAs.
April 23 -
Moves and news at Macquarie, Rockefeller, Vanguard, Orion, and elsewhere in the financial-advice industry this week.
April 22