Financial Advisor Blog - Page 48 - Financial Advisor Transitions

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...

A Holistic Approach for Financial Advisors to Serve Aging Clients

March 18th, 2024

Here are ThinkAdvisor's common scenarios advisors encounter when working with aging clients and strategies to navigate them effectively.

The Power of Probing Questions for Financial Advisors

March 15th, 2024

Financial advisors constantly seek deeper insights into clients' behaviors and attitudes toward money. In a recent Financial Planning article, four...

Advisors Reverse Course Amid Transition to Remain at Stifel Financial

March 14th, 2024

In an unexpected twist, two advisors have chosen to remain at Stifel Financial after initially announcing their departure to independent broker-dea...

Bluespring Wealth Partners Announces Merger of Partner Firms

March 13th, 2024

Bluespring Wealth Partners, the RIA acquisition arm of Kestra Holdings, has orchestrated a merger between two of its partner firms, Retirement Weal...

RIA Mergers & Acquisitions Spike Following a Slower 2023

March 12th, 2024

The registered investment advisor (RIA) market experienced a slight downturn in deal-making in 2023, marking the first annual decline in merger and...

Building a Legacy: Father-Son Duo in Wealth Management

March 11th, 2024

InvestmentNews recently reported on a father-son duo at UBS to discuss how to ensure a smooth relationship's success.

Wells Fargo Advisors Maintain $2 Billion Recruiting Tab

March 8th, 2024

As reported by AdvisorHub, Wells Fargo Advisors' employee division has kept a steady recruiting tab of over $2 billion in forgivable loans, signali...

Wells Fargo Appoints Erik Karanik to Lead Independent Solutions Division

March 7th, 2024

Wells Fargo has named Erik Karanik, a seasoned employee with over three decades of experience at the firm, the head of independent solutions for it...