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Jonathan Henschen
RIA
Longtime IBD Recruiter Jon Henschen Dies at Age 64Longtime IBD Recruiter Jon Henschen Dies at Age 64

Henschen, who owned Henschen & Associates, was a pioneer and thought leader in the independent recruiting space.

byDiana Britton, Moderator, Managing Editor
Jul 21, 2023
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1 Min Read
wealthstack-podcast-Marc-Chaikin.png
Insights & Analysis
The WealthStack Podcast: 2023 Market Predictions with Marc ChaikinThe WealthStack Podcast: 2023 Market Predictions with Marc Chaikin
byShannon Rosic, Moderator
Jul 21, 2023
Brodeski-Brent-R-CEO-promo.jpg
RIA
Savant Acquires Delaware CPA/RIA Businesses With $376M in AssetsSavant Acquires Delaware CPA/RIA Businesses With $376M in Assets
byPatrick Donachie
Jul 20, 2023
1 Min Read
Mindy-podcast-Ric-Edelman.jpg
Career Moves
Mindy Diamond on Independence: Ric Edelman on the Future of Your Wealth Management PracticeMindy Diamond on Independence: Ric Edelman on the Future of Your Wealth Management Practice
byMindy Diamond, Louis Diamond
Jul 20, 2023
Edward Jones Managing Partner Penny Pennington
Industry News & Trends
Edward Jones Moves More Advisors to TeamsEdward Jones Moves More Advisors to Teams
byDiana Britton, Moderator
Jul 20, 2023
1 Min Read
Liz-Miller_2023-BOD-headshot.jpg
Industry News & Trends
CFP Board Chooses Elizabeth Miller as 2024 Chair-ElectCFP Board Chooses Elizabeth Miller as 2024 Chair-Elect
byPatrick Donachie
Jul 19, 2023
1 Min Read
401k-real-talk-2023-USE.png
RPA
401(k) Real Talk Episode 68: July 19, 2023
401(k) Real Talk Episode 68: July 19, 2023
Jul 19, 2023
byFred Barstein, The Retirement Adviser University,
WMRE_Thirty Capital Webinar_081723_GettyImages-1432903655.jpg
Insights & Analysis
Budgeting to Optimize Cashflow Amidst Tightened Margins and Uncertain Returns
Budgeting to Optimize Cashflow Amidst Tightened Margins and Uncertain Returns
Jul 18, 2023
LPL Financial sign
RIA
LPL Chief Marketing and Communication Officer to Step Down
LPL Chief Marketing and Communication Officer to Step Down
Jul 18, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
hot takes EDGE.PNG
Industry News & Trends
Expert Insights: Hottest Trends for Advisors over the Next 12 Months
Expert Insights: Hottest Trends for Advisors over the Next 12 Months
Jul 18, 2023
byWealthManagement.com Staff
oklahoma-flag.jpg
Regulation & Compliance
Oklahoma Becomes 40th State to Adopt Best Interest Annuity Rules
Oklahoma Becomes 40th State to Adopt Best Interest Annuity Rules
Jul 17, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
apollo-global-markets.jpg
Industry News & Trends
Apollo Global Builds Team to Target World’s Top Family Offices
Apollo Global Builds Team to Target World’s Top Family Offices
Jul 17, 2023
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1 Min Read
byBen Stupples
Pathstone President Matt Fleissig
RIA
New Jersey Wealth Advisor Pathstone to Buy Multifamily Office Veritable
New Jersey Wealth Advisor Pathstone to Buy Multifamily Office Veritable
Jul 17, 2023
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1 Min Read
byAmanda Albright
mass-mutual-building.jpg
RPA
Are PEPs a Panacea or Passing Fad for 401(k) Plans?
Are PEPs a Panacea or Passing Fad for 401(k) Plans?
Jul 17, 2023
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1 Min Read
byFred Barstein, The Retirement Adviser University,
Focus Financial CEO Rudy Adolf
RIA
Focus Shareholders OK Sale to Clayton, Dubilier and Rice
Focus Shareholders OK Sale to Clayton, Dubilier and Rice
Jul 14, 2023
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1 Min Read
byAli Hibbs, Reporter
MikeBaker_TN.jpg
Sponsored Content
United Planner’s Will Never Be for Sale
United Planner’s Will Never Be for Sale
Jul 14, 2023
SEC building
Regulation & Compliance
Firms Not Warming To Testimonials Despite Ad Rule, IAA Survey Finds
Firms Not Warming To Testimonials Despite Ad Rule, IAA Survey Finds
Jul 14, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
Hightower office logo
RIA
RIA Roundup: Hightower Adds CPA Firm in Latest Deal
RIA Roundup: Hightower Adds CPA Firm in Latest Deal
Jul 14, 2023
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1 Min Read
byAli Hibbs, Reporter
Jerry and Scott 2016-03.jpg
Wirehouse
Former Securian Team With $200M AUM Jumps Ship for LPL
Former Securian Team With $200M AUM Jumps Ship for LPL
Jul 13, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
finra-street.jpg
Regulation & Compliance
FINRA Charges Former Rep for Toxic Private Placements, Falsifying Client Info
FINRA Charges Former Rep for Toxic Private Placements, Falsifying Client Info
Jul 13, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
diamond-podcast-IU-Innovative.jpg
Career Moves
Mindy Diamond on Independence: Innovative Ways the Best Independent Firms Fuel Growth
Mindy Diamond on Independence: Innovative Ways the Best Independent Firms Fuel Growth
Jul 13, 2023
byMindy Diamond, Louis Diamond
Allianz building
Regulation & Compliance
Allianz US Unit Ordered to Pay $6B in Securities Fraud Case
Allianz US Unit Ordered to Pay $6B in Securities Fraud Case
Jul 13, 2023
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1 Min Read
byBob Van Voris
carolyn-armitage.png
RIA
Head of Thrivent Advisor Network Let Go
Head of Thrivent Advisor Network Let Go
Jul 12, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
FFP-Podcast-Peggy Haslach.png
Business Planning
Focused on the Future: Peggy Haslach on How Financial Advisors Can Best Serve the LGBTQ+ Community
Focused on the Future: Peggy Haslach on How Financial Advisors Can Best Serve the LGBTQ+ Community
Jul 12, 2023
bySuzanne Siracuse, CEO
PCIA CEO Glenn Spencer
RIA
Abry Partners Takes Minority Stake in Prime Capital Investment Advisors
Abry Partners Takes Minority Stake in Prime Capital Investment Advisors
Jul 12, 2023
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1 Min Read
byAli Hibbs, Reporter
captrust
RIA
Captrust Buys $2.3B AUM Southern Wealth Management
Captrust Buys $2.3B AUM Southern Wealth Management
Jul 12, 2023
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1 Min Read
byAli Hibbs, Reporter
401k-real-talk-2023-USE.png
RPA
401(k) Real Talk: Episode 67: July 12, 2023
401(k) Real Talk: Episode 67: July 12, 2023
Jul 12, 2023
byFred Barstein, The Retirement Adviser University,
Raymond James office
Regulation & Compliance
Raymond James to Pay $12.5M for 'Unreasonable' Commission Charges
Raymond James to Pay $12.5M for 'Unreasonable' Commission Charges
Jul 11, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
bofa-merrill-lynch-6.jpg
Regulation & Compliance
BofA to Pay $250M Over Extra Fees, Unauthorized Cards
BofA to Pay $250M Over Extra Fees, Unauthorized Cards
Jul 11, 2023
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1 Min Read
byPaige Smith and Katherine Doherty
FINRA-HQ.jpeg
Regulation & Compliance
FINRA Bars Illinois Broker for Not Disclosing Private Securities Transactions to B/D
FINRA Bars Illinois Broker for Not Disclosing Private Securities Transactions to B/D
Jul 11, 2023
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1 Min Read
byPatrick Donachie, Senior Reporter
dollar-signs-mobile.jpg
RIA
Quarterly RIA Deal Volume Hits Lowest Level Since 2021
Quarterly RIA Deal Volume Hits Lowest Level Since 2021
Jul 10, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
coronavirus-mask-money.jpg
RPA
How the Pandemic Has Changed 401(k) Plans
How the Pandemic Has Changed 401(k) Plans
Jul 10, 2023
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1 Min Read
byFred Barstein, The Retirement Adviser University,
FINRA Expels New Jersey B/D for Churning Accounts of Gold Star Families
Regulation & Compliance
FINRA Expels New Jersey B/D for Churning Accounts of Gold Star Families
FINRA Expels New Jersey B/D for Churning Accounts of Gold Star Families
Jul 7, 2023
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1 Min Read
byDiana Britton, Moderator, Managing Editor
delegating-concept.jpg
Business Planning
Delegate, Don't Manage
Delegate, Don't Manage
Jul 7, 2023
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1 Min Read
byMatt Reiner
Eric-Clarke-Headshot-1.jpeg
RIA
Q&A: Orion CEO Eric Clarke on a Replacement, Retirement and the Future
Q&A: Orion CEO Eric Clarke on a Replacement, Retirement and the Future
Jul 7, 2023
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1 Min Read
byRob Burgess, Technology Reporter

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