Financial Advisor Blog - Page 2 - Financial Advisor Transitions

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How Financial Advisors Can Win Over Prospects in the First Meeting

August 18th, 2025

When a prospective client agrees to meet with a financial advisor, that person is doing so for a reason. A recent InvestmentNews story explores thi...

Proposed New Jersey Rule Could Drive Out Independent Financial Advisors,...

August 15th, 2025

A proposed change by New Jersey's Department of Labor to the rule defining whether a worker is an employee or an independent contractor is drawing ...

Edward Jones Faces Slower Asset Growth Amid Industry Headwinds

August 14th, 2025

Edward D. Jones & Co. reported slower asset growth in its latest quarterly filing, citing challenges such as an aging client base, generational wea...

Wells Fargo Advisors Adopts Garden Leave Policy for Certain Managers

August 13th, 2025

Wells Fargo Advisors has implemented a garden leave policy for branch and complex managers, as well as other employees holding specific corporate t...

Recruiting Wars Cause Surge in Upfront Loan Balances at Raymond James an...

August 12th, 2025

Raymond James Financial's aggressive push to attract high-producing advisors is showing up in its financial statements.

Merrill Lynch and Morgan Stanley Stand Firm Against RIA Custody Trend

August 11th, 2025

While firms like Wells Fargo Advisors and Goldman Sachs expand their independent offerings, Merrill Lynch and Morgan Stanley so far have refused to...

LPL Financial Set to Close $2.7 Billion Acquisition of Commonwealth Fina...

August 8th, 2025

LPL Financial is preparing to finalize its $2.7 billion acquisition of Commonwealth Financial Network, according to executives who spoke during the...

Advisor Movement and Succession Planning Take Center Stage Amid Surge in...

August 7th, 2025

As advisor transitions and retirements accelerate, Cerulli Associates and 55ip report that roughly 10 percent of financial advisors are expected to...

NASAA Proposes Updates to Investment Advisor Advertising Rules to Align ...

August 6th, 2025

The North American Securities Administrators Association (NASAA) has released proposed amendments to its model rules governing investment advisor a...

UBS Americas Wealth Division Reports $3.5 Billion in Outflows Amid Risin...

August 5th, 2025

UBS Group AG's Americas wealth division reported $3.5 billion in net outflows during the second quarter, marking a sharp reversal from the $6.2 bil...

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RBC Wealth Management Posts Revenue Growth Amidst Rising Recruiting Costs

September 2nd, 2025

Royal Bank of Canada's U.S. wealth management business posted solid gains in its third quarter, driven by new client assets and market performance.

Independent Brokerages See Strong Growth

August 29th, 2025

Independent brokerages recorded notable gains in 2024, with several firms outpacing their peers in Financial Planning's annual IBD Elite study.

Rockefeller Capital Management Imposes New Relationship Fee on Advisory ...

August 28th, 2025

Rockefeller Capital Management disclosed in a recent regulatory filing that it will impose a new relationship quarterly fee of 3.5 basis points on ...

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