RIA’s new Angeles Family Office unit pushes deeper into services for generationally wealthy households amid a boom in “family office” branding.
Advisor360 survey finds RIA, broker-dealer, and bank advisors leaning on AI for meetings and CRM updates, but remain wary of handing it the keys to advice decisions.
Nearly two decades of data show retired households face frequent “rainy day,” family and health shocks, often without enough liquid savings to cover even a single year.
'FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.
Meanwhile, Wells Fargo snags another rival wirehouse team in Atlanta, while another longtime LPL advisor joins other seceders to Cetera.
In a letter shared exclusively with InvestmentNews, trade group urges Chair Paul Atkins to modernize disclosure rules for digital delivery for investors.
The liquidity increase at the nontraded Blue Owl Technology Income Corp. comes as some advisors and clients are bailing from BDCs.
Only 3% of SEC-registered RIAs qualify as small entities under the agency's current threshold, but about 75% would qualify under the proposed new definition.
New hire brings mix of client experience, digital and consulting chops as the independent broker-dealer behemoth leans into scale, growth, and M&A.
The FPA's new content hub and conference series aims to help drive planner's AI excitement into practical tools and implementation for day-to-day work.
Microsoft founder’s annual note frames 2026 with AI optimism and philanthropy challenges that matter to investment strategy.
Industry players are watching nervously to see what lawmakers may decide on digital assets.
Also, LPL has scooped a second-generation high-net-worth practice from Osaic, while Ameriprise welcomes a father-son team from Edward Jones to its financial institutions group.
Meanwhile, Prospera has added its first team in Vermont, while Concurrent gets bigger in Texas with a $385 double acquisition.
As fintech giants move from digital into brick-and-mortar spaces, the wealth industry is reaffirming that in a world of automation, trust still lives across the table
The former managing editor of InvestmentNews was the epitome of decency and integrity.
They paid $25K to settle fraud charges. Now the SEC wants them banned from the industry entirely.
Sources tell InvestmentNews the SEC is sharpening its focus on how RIAs disclose payments connected to third-party ratings, warning that omissions can be misleading.
Move would sweep many more RIAs and funds into the “small entity” bucket, potentially reshaping how the federal securities regulator designs new rules.
Report finds advisor effectiveness hinges on sentiment, not just strategy.
