Former Broker Sues Cetera OSJ AdvisorNet Financial
Susan L. Welo claims AdvisorNet cost her her livelihood.
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401(k) Fees Are Eating Retirement Savings
Reform could put billions into the pockets of American savers.
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Have You Even Seen One Family Office?
Admission of ignorance is often the first step in our education.
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Overcoming the Collaboration Challenge
Why is working together so difficult for many advisors?
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Big New ETF Players May Be Ready to Bring Back the Price Wars
Asset managers that had been longtime ETF holdouts -- including Wells Fargo, Federated Investors and Dimensional Fund Advisors -- are finally diving in.
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Bond ETFs Go From Roughed-Up to Record Inflows Thanks to the Fed
So far this year, inflows to bond funds total $166 billion, compared with $154 billion in all of 2019.
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Four Client Conversation Topics for the Fourth Quarter
Turn your clients’ worries into workable actions.
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Oranj Adds Investment Reporting
The new reporting feature has been in demand for two years, according to the firm's CEO. It's now available.
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SEC Offers More Guidance on Form CRS Disciplinary Disclosures
The SEC's guidance comes weeks after news reports indicating that many firms were failing to properly disclose prior issues, and stresses that firms cannot omit the disciplinary section, regardless of the answer they give.
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Miami Advisor With $400 Million in Assets Joins Alex. Brown
Reynaldo Figueredo made the move to the division of Raymond James based on its client-centric culture and boutique feeling, and is the sixth advisor to join the division's Miami office this year.
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Tom Nally, 7 Other Execs Out at TD Ameritrade
The leadership changes come just days after Charles Schwab closed its acquisition of TD Ameritrade.
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YCharts Acquired by PE Firm LLR Partners
The wealth management-focused analytics and charting firm now finds itself with capital for growth and acquisitions.
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Getting Practical Answers to the Most Common College Questions
A new tool that can help families make smarter and less expensive decisions.
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Wealthies Circle Podcast: Simplify Your Life With TradingFront
TradingFront CEO Yang Xu talks about what the white-label robo advisor can do for RIAs.
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Five Things Smart Advisors Never Say
These verbiage mistakes can kill your positioning, make you seem pushy or showcase a sales-first mentality.
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Michael Kitces' #FASuccess Podcast: Own Your Future By Reinvesting In Yourself With Echo Huang
Echo Wealth Management founder Echo Huang details her journey starting from scratch in the financial services industry to running her own firm with $120 million in AUM.
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Stan The T-Rex Sold For $28M At Contemporary Art Auction
Bidding was "solid" at the Christie's contemporary art auction—a mix of virtual and in-person proceedings at Rockefeller Center.
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Stan the T. Rex Sold for $28M at Contemporary Art Auction
Bidding was 'solid' at the Christie's contemporary art auction—a mix of virtual and in-person proceedings at Rockefeller Center.
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SEC Proposes 'Finders' Exemption For Unregistered Brokers in Private Markets
The proposed rule would enable individuals to solicit accredited investors on behalf of issuers. Supporters say it can help small businesses raise capital, while critics worry about expanding activity into less transparent markets.
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