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Adviser Rick Woolfolk, who is also a Civil Air Patrol representative for the U.S. Air Force, offers survival tips for firms. Woolfolk’s practice is located in Texas' Tornado Alley region.
October 7
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From teaching disaster prep classes before, to holding hands after, advisers’ best practices for catastrophes.
October 7
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Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.
October 7
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The firm's move comes after BlackRock intensified the price war in the industry by reducing expenses on 15 of its funds.
October 7
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Advisers sound off on the most difficult challenges their clients have handed them.
October 6
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Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.
October 6
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The new recruits join from RBC and Wells Fargo Advisors.
October 6
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Trio separates from mega-RIA Arnerich Massena to form new firm using tru Independence.
October 6
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Wide adoption by global money managers and ETFs could set off a new wave of buying, according to Morningstar.
October 6
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Provide more effective feedback by making it part of everyday work and make assessments more forward-thinking.
October 6
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The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.
October 5
Bloomberg -
Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.
October 5
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The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.
October 5
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Relura Horton, former regional managing director at Fidelity Custody and Clearing, hopes to attract more women clients to her new firm.
October 5
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The long-running battle by two CFPs against the board comes to an abrupt end.
October 4
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Keith Rowling rejoined this elite group for a second year in a row.
October 4
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The funds have had the fastest growth since 2012, with nearly $100 billion of inflows, helped by record emerging-market investments.
October 4
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After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.
October 4
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A father, son and daughter leave the wirehouse to form their own business.
October 4
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New capital from outsiders is adding $50 million to the RIA's war chest.
October 3
