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Top Strategies for Registered Investment Advisor Marketing

Midstream Marketing

Introduction In today’s changing finance world, registered investment advisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. A strong brand identity works like a magnet.

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Pennsylvania Advisor Who Used Client Funds on Country Club Dues Gets 8 Years in Prison

Wealth Management

Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., Mason was also ordered to pay nearly $25 million in restitution to his victims and nearly $2.4 million to the IRS. and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ.

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10 States with the Most and Least Potential AUM Per Advisor

Wealth Management

states by the potential AUM available per SEC-registered advisor. To get the ranking, it divides the total household net worth (excluding home equity) by the number of active investment advisors in the state to show the ones that are most and least saturated with advisors. The company recently ranked 44 U.S.

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Deals & Moves: Focus Partners Wealth Merges in $5.6B California RIA

Wealth Management

Related: Allworth’s Latest Deal Signals a Shift in M&A Strategy Carson Group Acquires $300M Affiliate Carson Group, the $42 billion registered investment advisor, has acquired another location out of its Carson Wealth partner network. The Jacob William Advisory in Cockeysville, Md., manages about $300 million in client assets.

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Fynancial Wins 'Best in Show' at Wealth Management EDGE Tech Demos

Wealth Management

Sponsored Content Alternative Investments Summit: Navigating the New Frontier Alternative Investments Summit: Navigating the New Frontier Apr 11, 2025 stock market chart hand finger pointing Alternative Investments Advisors Say Liquidity, Limited Options Block Greater Alts Adoption Advisors Say Liquidity, Limited Options Block Greater Alts Adoption (..)

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Mariner Hires M&A Lead Rob Sandrew to Oversee $40B Independent Channel

Wealth Management

Mariner is seeking to bolster its independent registered investment advisor channel by hiring Rob Sandrew to oversee the division, which includes more than 1,100 advisors and about $40 billion in client assets. AUM from UBS RBC Attracts Three Advisors Totaling $1.1B The Bahnsen Group Names President, CFO $7.5B

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Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA

Wealth Management

Alex Ortolani , Senior Reporter June 10, 2025 1 Min Read SilverStar President and Lead Principal Tim Hudson Bluespring Wealth Partners, the registered investment advisor acquisition arm of Kestra Holdings , has acquired a former Kestra Advisory Services firm in the Houston metro area to merge with its LifeBridge Financial Group and create a $1.4