After parent's Goldman deal, retirement firm to add $5.5B company
World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.
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LPL adds $4.7B client assets with Commerce Bank's move
The latest incoming recruit to the firm's Institution Services unit followed a half dozen other big moves by the firm in the bank and credit union channel in recent years.
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4 reminders for clients as student loan repayment looms
Americans owe over $1.6 trillion on federal student loans, and repayment starts this fall. There are options for blunting the burden on clients.
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Regulator roadmap: Could new SEC rule force advisors to give too much away?
Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.
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SEC charges Fundrise Advisors for paying finfluencers $8M to solicit clients
According to the SEC, agreements that violated the cash solicitation rule generated 66,000 new clients and $300 million in AUM for the offending firm.
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F2 Strategy appoints Laura Korbel as president
The firm follows its major move to the Midwest by expanding its executive leadership team.
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Former advisor files appeal in murder-related Ponzi scheme case
A lawyer representing Keith Todd Ashley argues prosecutors overreached in arguments used to obtain life sentence against his client.
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How LPL finally scored a $1.5B team from Kestra
The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.
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Morgan Stanley told to pay $1.8M for overconcentrating client in stock
A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.
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Snappy Kraken releases AI email builder for financial advisors
The marketing technology firm's new drag-and-drop tool includes AI-powered tools for headline writing, image generation and calls to action for clients.
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How human advisors can bring out the best in generative AI
AdvisorFinder is introducing a new AI-powered content creator for wealth managers. But the fintech's founder says advisor expertise will be needed to tap into its true potential.
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SEC's private fund reform could add more work, costs for RIAs
One provision of the six-part package applies to all registered advisory firms, and compliance experts say the guidelines could prove costly for smaller companies.
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JPMorgan finds wellness benefits support healthy retirements
When employers address health and well-being, financial stability follows.
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Creative Planning adds RIA with 'deep' tax roots in latest M&A deal
The private equity-backed consolidator led by Peter Mallouk opened a new unit after acquiring a different Twin Cities-area firm earlier this summer.
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Schwab to cut staff, real estate to save $500M a year
The brokerage plans to cut staff and close or downsize offices in response to investor pressure.
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Schwab to cut staff, real estate to save $500M a year
The brokerage plans to cut staff and close or downsize offices in response to investor pressure.
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Fintechs know they need better compliance, but don't want to pay for it
Banks are holding their fintech partners to a higher compliance standard as regulatory scrutiny of banking-as-a-service increases.
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Citi is reportedly mulling a revamp that will impact its wealth management division
The New York megabank is considering splitting its institutional clients group division into three parts following the upcoming departure of top executive Paco Ybarra, the Financial Times reported. The heads of the three segments would report directly to CEO Jane Fraser.
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Citi is reportedly mulling a revamp that will impact its wealth management division
The New York megabank is considering splitting its institutional clients group division into three parts following the upcoming departure of top executive Paco Ybarra, the Financial Times reported. The heads of the three segments would report directly to CEO Jane Fraser.
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Leverage rebounding M&A to grow your RIA
It's a good time for savvy financial firms to scan for the right teams to onboard.
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