Financial Advisor Blog - Page 20

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...

Read More about How Financial Advisors Can Win Over Prospects in the First Meeting

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 ...

Read More about Proposed New Jersey Rule Could Drive Out Independent Financial Advisors, Study Warns

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...

Read More about Edward Jones Faces Slower Asset Growth Amid Industry Headwinds

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...

Read More about Wells Fargo Advisors Adopts Garden Leave Policy for Certain Managers

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.

Read More about Recruiting Wars Cause Surge in Upfront Loan Balances at Raymond James and Stifel

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...

Read More about Merrill Lynch and Morgan Stanley Stand Firm Against RIA Custody Trend

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...

Read More about LPL Financial Set to Close $2.7 Billion Acquisition of Commonwealth Financial Network

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...

Read More about Advisor Movement and Succession Planning Take Center Stage Amid Surge in RIA Consolidation

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...

Read More about NASAA Proposes Updates to Investment Advisor Advertising Rules to Align with SEC Marketing Standards

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...

Read More about UBS Americas Wealth Division Reports $3.5 Billion in Outflows Amid Rising Advisor Defections

About Us
Whatever the next step is for your practice, ensure it remains your practice with the experienced transition consultants at Financial Advisor Transitions. Let us assess your wants and needs and help negotiate the best transition plan to propel your practice forward.
Follow Us
Continue to prosper. Keep up with us on social media.
  • facebook
  • google
Contact Us
Copyright 2026 Powered by Epic Web Studios
Home
About
How Can We Help?
FAQs
Blog
Contact