YOUR BUSINESS

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A Big Question For Small Advisors--Why Sell Now?

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Here are some questions to consider if you are an owner of an RIA with $500 million or less in client assets.

SEC Fines 2 RIAs $400K Over False Boasts About AI Capabilities

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Delphia (USA) and Global Predictions agreed to pay $400,000 in penalties for the false claims, the agency said.

Different Responses To That Common Advisor Question

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Here are some unexpected answers to the common advisor question: How's business?

Why Wealth Managers Fail To Move Upmarket

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A lack of time is highly correlated with difficulty sourcing wealthier clients.

Diversity Should Still Be A Hiring Goal, Financial Execs Say

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A panel of financial industry professionals said advisors need to get out of their comfort zone when hiring.

Sponsored Content: Your Clients Are Not Impressed. Here's What To Do About It.

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A deep discovery process can differentiate your practice from the rest.

Edelman Explains Why The Days Of Advisor Poaching Are Here

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Mariner's Marty Bicknell also sees advisors missing a huge NextGen opportunity.

UBS CEO Says Catch-Up On U.S. Wealth Market Will Take Time

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The Zurich-based bank has signaled that the U.S. will be a major plank of its growth strategy.

Avoid These 14 Mistakes That Alienate Wealthy Individuals

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Prospects will view you with suspicion if you're just trolling for clients.

Is The End Near At The Wirehouses?

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The headlines, reports and data all seem to indicate that the model is tagged for extinction. But is that really the case?

The Best Approach To Getting Accountant Referrals

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“Talking clients” is the most potent way for wealth managers to create a steady stream of high-quality accounting firm clients.

AssetMark Sees Tech As Key To Success, CEO Says

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The company is devoting $60 million to its technology budget this year, CEO Michael Kim said.

10 States Launch Legal Battle Against SEC's Climate Rules

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The lawsuit is part of an ongoing GOP campaign against ESG initiatives.

BlackRock To Buy SpiderRock As Firm Expands Wealth Management

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The investment firm said the deal will increase its ability to offer tax-efficient investment services.

Large Acquired RIAs Are Losing Clients, Advisors At An Alarming Rate

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Staff turnover has an insidiously harmful effect on advisory firms.

RIAs Can't Explain How Their AI Works, SEC Official Says

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Even AI engineers have a problem conveying how the technology works, the regulator said.

Snowden Lane Recruits Mother-Son Advisor Team

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The pair will operate as the Lewis-Solomon Group in New York City.

Robertson Stephens Acquires Conn. Firm With $180 Million AUM

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The deal puts Robertson Stephens Wealth Management over the $5 billion AUM mark.

Modern Wealth Buys $1.2 Billion AUM Beltz Ianni

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The deal gives Modern Wealth more than $3 billion in AUM and puts it in the retirement plan advisory business.

Schwab Execs Say This Election Year Will Be 'Crazy Time' For Investors

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Advisors need to guard against emotional decisions by clients, they said.

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