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RIA MARKET CENTRAL

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More Clients Doesn't Always Mean More Profits, Consultant Says

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Advisors should focus on wealthy clients to increase profitability, he said.

Gen Z And Millennials -- Two Generations Of Investors Wary Of Wall Street

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Gaining the trust of millennials and Gen Z is the only way advisors can deliver better outcomes for new clients.

Former Advisor Sentenced To 13 Years For Targeting Retirees, Churchgoers

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DaRayl Davis swindled his victims out of $5.1 million in an investment scheme, prosecutors said.

Creative Planning Buys $5B AUM Sullivan Bruyette Speros & Blayney

by FA Staff

This is Creative Planning's largest M&A deal to date.

How To Provide Answers To Client Questions About Rollovers

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A new Dalbar white paper aims to provide financial advisors with a roadmap to comply with DOL rules on retirement plan rollover assets.

Wealthy Investors Will Sidestep 90% Of Biden's Capital Gains Increases

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A Penn-Wharton study says wealthy investors will simply sell less to avoid realizing gains.

Creative Planning Acquires $320M AUM Castle Wealth

by FA Staff

Castle Wealth is Indiana's oldest fee-only financial advisor.

Wealth Enhancement Group's First West Coast Acquisiton Is A $1.6B AUM RIA

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With the closing of the transaction, Wealth Enhancement Group's client assets are expected to exceed $31.8 billion.

Eileen Sharkey, Pioneer Of Advisory Profession, Dies

by FA Staff

She emerged as a leader in the male-dominated profession back in the 1980s.

Advisor Creates Annuity Solution For Breakaway RIAs

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This business pays breakaway advisors for the legacy annuities they leave behind when becoming RIAs.

RIA M&A Activity Pulling Back From Record Highs, DeVoe Says

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After a red-hot January, M&A activity cooled during the rest of the first quarter, a DeVoe report said.

Two Ohio-Based RIAs To Merge Into $7B Firm

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Sequoia Financial Group and Wealthstone Advisors are expected to tie the knot in the second quarter.

Advisors Drift Away From Traditional Portfolios, Fidelity Says

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The changes reflected the unusual nature of 2020, which prompted different responses from investors and advisors.

Acting Before Tax Law Changes Is Probably A Loser's Game

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Changes in federal and state tax laws can impact taxes on a household portfolio.

New Bill Would Require RIAs To Submit Diversity Data

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The legislation would require advisors with more than 100 employees to conduct diversity surveys.

DOL Eyes Nuclear Option, Revisits Advisor Rollover Exemptions

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The agency said it is revisiting its regulations for rollover advice.

Banks Bet On Wealthy Clients Who Got Even Richer During Pandemic

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The world's 500 richest people added $1.8 trillion to their combined net worth last year.

Group Managing $500M Exits Royal Alliance To Launch OSJ With LPL

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Walnut Beech Advisors, which includes 20 financial professionals, has offices in Rochester, Mich., and Long Beach, N.Y.

New Bill Would Outlaw Forced Investor Arbitration Agreements

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The federal legislation would protect investors' right to bring class action lawsuits against advisors and brokers.

Why RIAs Should Harness The Power Of Next-Generation And Female Advisors

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The next two decades are set to see a sweeping shift in American wealth.

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