New center-left proposals would widen the standard deduction, raise top rates to offset federal revenue losses, and force advisors to revisit tax-planning strategies.
Advisors encourage tax-conscious moves and downside protection more often in 2025, yet only about one-third discuss Medicaid or long-term care with clients.
But the firm claims the deals it sold are sound and should be separated as the court proceeds.
With more outside backers rushing into the RIA space, the upside depends on how clearly sellers can deploy primary capital to grow, not just take chips off the table.
Millions of Mercer client records were allegedly exposed by ShinyHunters, which also targeted Beacon Pointe Advisors and Pathstone Family Office.
The targeted federal tax, projected to raise $4.4 trillion over a decade, is being floated as a similar motion aimed at wealthy individuals in California gains traction.
Meanwhile, &Partners lures another Wells Fargo team in upstate New York, and Summitry expands in California with a new $721 million partner firm.
New "Dash" capability within Moneyguide aims to boost client prospecting discussions, while WealthStream's newly launched AI platform looks to help fill early gaps in advisor expertise.
New analysis shows nearly 6,000 advisors left since 2021, with senior departures rising sharply.
Firm recruits UBS and Raymond James advisors in Ohio and Maryland to expand wealth platform.
The lawsuit claims the firm slashed his budget, sidelined clients, and risked FINRA breaches.
Moloney Securities recently has had the attention of securities regulators due to its sale of high risk, high cost private investments, including GWG bonds.
Proposed regulations outline who can open the accounts, when elections must be filed and how “responsible parties” would manage investments and rollovers.
With trillions sitting in old workplace plans and small accounts often defaulting to cash IRAs, Roth dollars appear to be the hardest for clients — and their advisors — to track and consolidate.
Meanwhile, estate planning tech platform Vanilla and TaxStatus, the IRS-sourced data provider, have inked timely fintech tie-ups for advisors in the thick of tax season.
RIA aims to turn M&A momentum into measurable organic growth through proprietary technology.
Regulator cites AML failures, missing SARs and weak controls in historic broker-dealer penalty against Canadian firm’s US business.
A Florida judge has ordered the regulator to release portions of internal spreadsheets used to determine billions in recordkeeping fines during its Gensler-era crackdown.
The firm closed four advice firm transactions last year, not counting other recruiting deals.
From support that falls short to eroding entrepreneurial cultures, new frustrations are pushing more once-captive RIA advisors to make another break for independence.
