Experts say it's not just about cold, hard numbers. Knowing client expectations can also make or break any potential deal.
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A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.
April 28
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With the market in correction territory, retirees banking on generating income from their investments may need to rethink their short-term strategies.
April 28
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Critics have called for an overhaul of the confusing rules that they argue often leave investors paying taxes in the wake of falling into fraudsters' traps.
April 28
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CEO Ron Kruszewski received praise for leading the firm's wealth management unit to a record for revenue, despite costly legal setbacks.
April 25
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
Across the last five years of Financial Planning's 40 under 40 list, a few key insights have emerged about where the industry is at — and where it's headed.
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President Donald Trump's back-and-forth tariff plays have some advisors worried they are ill equipped to handle more swings, per new Financial Planning data.
April 28
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As LPL fights to keep teams in the fold, competitors are making strong plays and pointing to the large brokerage's perceived blemishes. The founders of KRM Investment Counsel said they also found what they wanted at Arkadios, an employee-owned firm.
April 24
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Jim Cracchiolo told analysts that the firm's retention "is quite good," even though his company, like many of its rivals, stopped providing statistics to verify such claims.
April 24
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CEO Paul Shoukry also told analysts that the merger and acquisition deals coursing through the industry could open doors for firms eager to bring in advisors and net new assets.
April 24
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The headache of filing dozens of state or international returns due to the so-called jock tax comes with opportunities to tap into savings, experts say.
April 23