NREI Feed

Ken Stern outlined his firm’s growth ambitions at RIA Edge Orange County.

The Southwest Florida team joins Raymond James’ Financial Institutions Division through Pinnacle Financial Partners’ investment program.

The filing was never the point. Building a great business is.

In other moves, Modern Wealth adds a former LPL team overseeing $330M, Captrust snags Sanctuary team in its own backyard, The AmeriFlex Group adds 17 advisors in Q3, and a $576M Stifel team jumps to Osaic.

Jeff Dunn and Bryan Cram will lead Truist Wealth on an interim basis as Shimna Sameer shifts to consumer banking chief.

Platform fees for API access and AI agent calls keep landing on advisors' desks, whereas industry history illustrates that openness benefits everyone without hurting profit margins.

In addition, news from next-generation CRM provider FinTurk, Zocks and LPL, and Masttro appoints a COO.

If an evergreen fund goes into proration, an investor’s options for cashing out are limited. But an auction for evergreen shares might now be one of them.

Analyzing taxation of a decedent with connections to multiple jurisdictions.

Making sure they aren’t lost in translation.

How the changes could impact mergers and acquisitions.

Navigating the distribution and sale of qualified small business stock in an estate administration.

The planned borrowing would boost Mariner’s term loan to $1.3 billion as Moody’s expects leverage to rise to 6.7x EBITDA by year-end.

Navigating important conversations with clarity and curiosity.

Where does the “buck” stop?

In a comment letter, state regulators urged the SEC to withdraw its new crypto-related proposed rule. Other letters in support and opposition came from politicians, consumer protection advocates and digital asset companies.

Preserve professional judgment and confidentiality

Its effectiveness depends on the interaction of drafting, local law, tax calculation, fiduciary independence, valuation and recordkeeping.

Christopher P. Woehrle discusses different ways to structure loans to minimize fraud in the context of charitable gift planning.

RBC Wealth Management clocks another win from UBS as it seeks to meet a rapid growth goal for advisors in the United States.