Financial Advisor Blog - Page 35 - Financial Advisor Transitions

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Navigating Organic Growth Challenges in RIA Aggregator Investments

April 2nd, 2024

While acquiring RIAs to expand their reach, RIA aggregators face challenges in realizing significant returns solely through AUM accumulation.

Top Winners in Wealth Management Recruiting for 2023

April 1st, 2024

LPL Financial emerged as the winner in the year-end recruiting rankings for 2023, boasting an impressive $92.7 billion in net new assets under mana...

Avantax Promotes More Than Tax Smart Investing in New Push

March 28th, 2024

Avantax President Todd Mackay is not just about crunching numbers and tax expertise but about building relationships. Despite the firm's reputation...

Florida Merrill Lynch Team Transitions to Independent Practice With Adde...

March 27th, 2024

Grafton Wealth Advisors, a team from Merrill Lynch managing $580 million in client assets, has departed the wirehouse to establish an independent p...

Cetera Financial Group Gears Up for Potential IPO

March 26th, 2024

Cetera Financial Group may be considering an initial public offering (IPO) within the next five years. According to InvestmentNews, this move would...

Insights for Advisors Planning to Retire

March 25th, 2024

Planning for retirement as a financial advisor involves more than just envisioning leisurely activities; it requires careful consideration and stra...

Binah Capital Group Emerges After Long-Awaited Merger

March 22nd, 2024

After more than 18 months of anticipation, the merger between Kingswood Acquisition Corp. and Wentworth Management Services, a broker-dealer roll-u...

SmartAsset Promotes New RIA Marketing with Subscription-Based Lead Gener...

March 21st, 2024

RIABiz reports that SmartAsset, a prominent player in connecting consumers with financial advisors, is disrupting the landscape with its innovative...

SEC Imposes $21 Million Penalty on Genesis Global Capital for Unregister...

March 20th, 2024

The Securities and Exchange Commission (SEC) has announced a final judgment requiring Genesis Global Capital, LLC to pay a civil penalty of $21 mil...

Wealth Management Strategies for Building Relationships with Trusts and ...

March 19th, 2024

Wealth managers seeking to expand their client base often turn to centers of influence (COIs) for referrals, with trusts and estates (T&E) attorney...

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NASAA Approves Amendments to REIT Guidelines to Strengthen Investor Prot...

September 11th, 2025

The North American Securities Administrators Association (NASAA) has approved sweeping amendments to its Statement of Policy Regarding Real Estate ...

Tips to Build Relationships at Nonprofit Events

September 10th, 2025

September marks the unofficial start of gala season in the nonprofit sector, bringing together high-net-worth individuals, community leaders, and p...

Next-Generation Investors Poised to Leave Advisors Amid Wealth Transfer

September 9th, 2025

Years of effort by financial advisors to retain younger heirs during the "great wealth transfer" have yet to produce the intended results.

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