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CI Financial
RIA
Corient Growth Offsets CI Financial's Q3 Asset Losses in CanadaCorient Growth Offsets CI Financial's Q3 Asset Losses in Canada

On an earnings call this week, CEO Kurt MacAlpine said to expect more acquisitions at a less frenzied pace than past years as the company continues to pay down debt.

byAli Hibbs, Reporter
Nov 10, 2023
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1 Min Read
edward jones
Industry News & Trends
Edward Jones Advisor Headcount Tops 19K in Q3Edward Jones Advisor Headcount Tops 19K in Q3
byAli Hibbs
Nov 10, 2023
1 Min Read
EP Wealth headquarters office RIA news
RIA
RIA People Roundup: EP Wealth Advisors Taps Kyle Miller to Lead M&ARIA People Roundup: EP Wealth Advisors Taps Kyle Miller to Lead M&A
byAli Hibbs
Nov 10, 2023
1 Min Read
Hightower office logo
RIA
RIA M&A Roundup: Hightower Picks Up $2.5B Partner Firm in OrlandoRIA M&A Roundup: Hightower Picks Up $2.5B Partner Firm in Orlando
byAli Hibbs
Nov 10, 2023
1 Min Read
Cambridge Investment Research IBD
RIA
Cambridge Hires Former LPL Exec to Boost AcquisitionsCambridge Hires Former LPL Exec to Boost Acquisitions
byDiana Britton, Moderator
Nov 9, 2023
1 Min Read
FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS
Regulation & Compliance
FINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRSFINRA Fines Firm For Omitting Disciplinary Disclosures on Form CRS
byPatrick Donachie
Nov 9, 2023
1 Min Read
1200x6000-Ghislain-Gouraige.jpg
Career Moves
Mindy Diamond on Independence: $3B Former UBS Advisor Finds His New Edge
Mindy Diamond on Independence: $3B Former UBS Advisor Finds His New Edge
Nov 9, 2023
byMindy Diamond, CEO, Diamond Consultants
cfp-board-sign.jpg
Regulation & Compliance
CFP Board Begins Publishing Detailed Disciplinary Details
CFP Board Begins Publishing Detailed Disciplinary Details
Nov 9, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Toussaint-Bailey-WM-EDGE-pod.png
Insights & Analysis
WealthManagement EDGE Podcast: Toussaint Bailey on Unlocked Profit in Impactful Wealth Management
WealthManagement EDGE Podcast: Toussaint Bailey on Unlocked Profit in Impactful Wealth Management
Nov 9, 2023
byNabia Jenkins-Johnston, Senior Conference Producer, US
Focus Financial Office
RIA
Sources: Focus Financial Firms To Consolidate
Sources: Focus Financial Firms To Consolidate
Nov 9, 2023
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1 Min Read
byAli Hibbs, Reporter
bank-of-hawaii.jpg
Industry News & Trends
Bank of Hawai‘i Outsources Its B/D Operating Platform to Atria
Bank of Hawai‘i Outsources Its B/D Operating Platform to Atria
Nov 9, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
Morgan Stanley
Industry News & Trends
Morgan Stanley Wealth Business Scrutinized by Fed, WSJ Says
Morgan Stanley Wealth Business Scrutinized by Fed, WSJ Says
Nov 9, 2023
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1 Min Read
bySridhar Natarajan
iStock-1471363510.jpg
Insights & Analysis
Embracing the Future: Opportunities in Carbon Transition Infrastructure
Embracing the Future: Opportunities in Carbon Transition Infrastructure
Nov 8, 2023
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1 Hr View
logo in a gray background |
Retirement
401(k) Real Talk Transcript for November 8, 2023
401(k) Real Talk Transcript for November 8, 2023
Nov 8, 2023
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1 Min Read
byFred Barstein, The Retirement Adviser University,
gensler at sifma.png
Regulation & Compliance
Gensler Defends Predictive Data Rule
Gensler Defends Predictive Data Rule
Nov 7, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
A Fidelity Investments sign.
RIA
Fidelity: Advisors Gave Up Asset Growth for Client Retention in 2022
Fidelity: Advisors Gave Up Asset Growth for Client Retention in 2022
Nov 7, 2023
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1 Min Read
byAli Hibbs, Reporter
iStock-1437019743_0.jpg
Insights & Analysis
Optimizing After-Tax Returns: Year-End Strategies and Portfolio Messaging
Optimizing After-Tax Returns: Year-End Strategies and Portfolio Messaging
Nov 7, 2023
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1 Hr View
FINRA
Regulation & Compliance
Another Barred Broker Files Suit Against FINRA
Another Barred Broker Files Suit Against FINRA
Nov 6, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
iStock-1453953453.jpg
Insights & Analysis
Beyond Private Market Access: Five Hidden Operational Roadblocks to Alternative Investing Success
Beyond Private Market Access: Five Hidden Operational Roadblocks to Alternative Investing Success
Nov 6, 2023
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1 Hr View
business-conference-table-blur-2.jpg
RPA
Broker/Dealers at the Vortex of the Convergence of Wealth, Retirement and Benefits at the Workplace
Broker/Dealers at the Vortex of the Convergence of Wealth, Retirement and Benefits at the Workplace
Nov 6, 2023
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1 Min Read
byFred Barstein, The Retirement Adviser University,
abacus-life-nasdaq.jpg
RIA
Life Settlement Firm Launches Wealth Division With Dynasty Support
Life Settlement Firm Launches Wealth Division With Dynasty Support
Nov 6, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
businessman money
Regulation & Compliance
The Corporate Transparency Act and Trusts
The Corporate Transparency Act and Trusts
Nov 6, 2023
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1 Min Read
byMatthew F. Erskine, Managing Partner
RCG-podcasts.jpg
RIA
Republic Capital Group Moves Headquarters from Houston to NYC
Republic Capital Group Moves Headquarters from Houston to NYC
Nov 6, 2023
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1 Min Read
byAli Hibbs, Reporter
TED theater
Career Moves
Ten Must-See TED Talks for Financial Advisors
Ten Must-See TED Talks for Financial Advisors
Nov 3, 2023
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11 Slides
byJohn Kador
businessman-pushing-compass.jpg
Business Planning
The Rise of the “Indeployee” Model in Financial Advice
The Rise of the “Indeployee” Model in Financial Advice
Nov 3, 2023
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1 Min Read
byDerek Bruton
rockefeller-elevator-doors.jpeg
RIA
Rockefeller Snags $500M Team From Merrill’s Private Bank
Rockefeller Snags $500M Team From Merrill’s Private Bank
Nov 3, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
jim-rivers-united-capital.jpg
RIA
Creative Planning Closes on Acquisition of Goldman Sachs Personal Financial Management
Creative Planning Closes on Acquisition of Goldman Sachs Personal Financial Management
Nov 3, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
iStock-917884914.jpg
Insights & Analysis
Strategies for Achieving a More Balanced Portfolio
Strategies for Achieving a More Balanced Portfolio
Nov 2, 2023
Elements Founder and CEO Reese Harper RIA news
WealthTech
Elements Unveils New RIA Partnership Model
Elements Unveils New RIA Partnership Model
Nov 2, 2023
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1 Min Read
byRob Burgess, Technology Reporter
hand-pills.jpg
RIA
Advisors vs. Addiction
Advisors vs. Addiction
Nov 2, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
fineberg-armel.jpg
RIA
Dynasty Partner Firm Lifts Two Advisors Out of Rockefeller
Dynasty Partner Firm Lifts Two Advisors Out of Rockefeller
Nov 2, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
Jamie-Hopkins-WM-EDGE-Podcast.png
Career Moves
WealthManagement EDGE Podcast: Jamie Hopkins on Transitions, Coaching Success and Lifelong Learning
WealthManagement EDGE Podcast: Jamie Hopkins on Transitions, Coaching Success and Lifelong Learning
Nov 2, 2023
byNabia Jenkins-Johnston, Senior Conference Producer, US
diamond-podcast-Richard-Lofgren.jpg
Industry News & Trends
Mindy Diamond on Independence: An Inside Look at Goldman Sachs Advisor Solutions
Mindy Diamond on Independence: An Inside Look at Goldman Sachs Advisor Solutions
Nov 2, 2023
byMindy Diamond, CEO, Diamond Consultants
sequoia-financial-sign.png
RIA
$15B RIA Sequoia Launches Family Office
$15B RIA Sequoia Launches Family Office
Nov 2, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
fidelity-office-sign-alamy.jpg
RIA
Fidelity Removes High-Yield Fund as Cash Sweep Option for RIAs
Fidelity Removes High-Yield Fund as Cash Sweep Option for RIAs
Nov 1, 2023
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1 Min Read
byWealthManagement.com Staff

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