Government Shutdown Will Cause Considerable Slowdown in Fund Launches
From ETFs to interval funds to applications for dual-share mutual funds/ETFs, the shutdown will delay the availability of new investment products.
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RIA Platform Uptick Partners to Surpass $1B With Latest Additions
Uptick supports the launch of Coppertree Financial Planning, a $100 million practice out of Edward Jones, and a team of breakaways from an RIA in Kansas City, with $275 million.
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FINRA Fines First Trust $10M for Exceeding Gift Limits With Basketball, Broadway Tickets
According to FINRA, the firm will pay $10 million to settle charges that it spent hundreds of thousands of dollars on non-cash compensation, sometimes conditioning gifts on reps selling First Trust products.
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MAI Capital Announces Reorganization After Evoke Deal
Rick Buoncore remains chairman and CEO of the now $65 billion RIA, with former Evoke co-founder and head David Hou taking the role of managing partner heading UHNW clients.
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Trusts & Estates: November 2025 Digital Edition
Features on Estate Planning & Taxation and Philanthropy
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Estate Planning Considerations for Business Owners
Leverage strategies to achieve personal and financial objectives.
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Guiding the Next-Gen Wealth Creators
How advisors can support millennials and Gen Z earning outside traditional models.
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How Advisors Can Communicate More Effectively
Better communication leads to greater trust and more profitable businesses.
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Zephyr's Adjusted for Risk: Revolutionizing Portfolio Diversification with Paisley Nardini
Ryan Nauman welcomes Paisley Nardini to discuss diversification challenges, the impact of increasing correlations, and the benefits of modern investment strategies including commodities, liquid alternatives, and actively managed futures.
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HB Wealth Lures $15B Charlotte Team From J.P. Morgan
The five-person team will seed HB Wealth’s first office in Charlotte, N.C., expanding its presence in the Southeast.
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$580B Wealthspire RIA Taking Shape After Madison Dearborn Acquisition
The combined RIA will operate under the Wealthspire brand, backed by a fresh $1 billion in debt financing and five firms with a history of collaboration, according to CEO Mike LaMena.
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&Partners Adds Two More Wells Fargo Teams
David Kowach’s &Partners has recruited Gerardi Wealth Management and Arrowhead Private Wealth, with a combined $1.5 billion in pre-hire AUM, from his former firm.
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&Partners Adds Two More Wells Fargo Teams
David Kowach’s &Partners has recruited Gerardi Wealth Management and Arrowhead Private Wealth, with a combined $1.5 billion in pre-hire AUM, from his former firm.
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Shutdown Stalls SEC Work on Private Credit in Retirement Plans
The SEC, in partnership with the Labor Department, hasn’t been able to make much progress on the issue due to staff furloughs, SEC Chairman Paul Atkins said.
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Shutdown Stalls SEC Work on Private Credit in Retirement Plans
The SEC, in partnership with the Labor Department, hasn’t been able to make much progress on the issue due to staff furloughs, SEC Chairman Paul Atkins said.
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Fueling Dreams for Disabled Athletes: Scott Stackman’s $29M Legacy of Hope
Scott Stackman is the 2025 Invest in Others Lifetime Achievement Award Winner
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Fueling Dreams for Disabled Athletes: Scott Stackman’s $29M Legacy of Hope
Scott Stackman is the 2025 Invest in Others Lifetime Achievement Award Winner
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AssetMark Acquires $3B RIA Platform Provider
AssetMark plans to close the deal for Efficient Advisors’ team and client base in December as it seeks to capture a larger share of the RIA sector.
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AssetMark Acquires $3B RIA Platform Provider
AssetMark plans to close the deal for Efficient Advisors’ team and client base in December as it seeks to capture a larger share of the RIA sector.
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Summit Financial: A Wealthstack For All
Stan Gregor, the CEO of Summit Financial, discusses his attempt to right the wrongs of past tech stacks with a full plate of offerings for the firm's advisors.
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