InvestmentNews trawls through the highlights of the longest ever State of the Union address.
Greg Robinson tells InvestmentNews how the firm has paired startups with advisors to accelerate AI-driven solutions, tackle the historic wealth transfer and reshape client outcomes for generations to come.
LPL Financial is missing a potential multi-million dollar penalty.
The SEC rule would restore only third-month data in a fund’s fiscal quarter being made public, and extending the forms monthly deadline to 45 days after month-end.
Where a CAB recommends a securities transaction to an eligible employee who qualifies as a retail customer under Regulation Best Interest or a retail investor for Form CRS, the CAB must comply with Reg BI and Form CRS.
“If AI is to play a role in their business operations, advisors would do well to disclose where it is used," said John McKenna, senior analyst at Cerulli.
Leading advisors discuss how wealth managers should handle fast-evolving threats and technology.
Meanwhile, a new venture at Integrated Partners sharpens its support for entrepreneurs going through complex transitions, and New York-based Aspen Standard Wealth announces a new president.
New workplace savings program targets startup employees by merging institutional portfolios, retirement tech, and equity ownership on a single platform.
When founders cling to control, take equity dynamics for granted, or ignore team design, succession plans crack long before they’re tested.
Firms commit to AI spending despite recession risks, targeting ROI and scarce talent skills.
Cutter Financial Group LLC was ordered to pay $150,000 in total civil penalties, and a five-year requirement the firm provide a copy of the ruling to all existing investment advisory clients and all new investment advisory clients
Advisors reveal how AI boosts efficiency, sharpens insight and deepens every client conversation
A record 102 acquirers entered the market last year, but 20 firms captured more than half of all acquired assets, according to Fidelity’s latest M&A report.
Along with a $1.18 million fine, the judgment permanently enjoins Bluesky Eagle from future violations of the Investment Advisers Act, and permanently enjoins its owners and executive officers from filing Form ADV as an Exempt Reporting Adviser'
Darryl Cohen allegedly used clients’ money to build a gym in the backyard of his home.
While it has sidestepped a public trial, an ex-analyst’s case renews scrutiny of how far junior bankers are pushed on live deals.
Meanwhile, Janney lands a billion-dollar team from Merrill in Delaware, and two longtime Edelman advisors hopped to Prime Capital Financial in the Northeast.
Retirement head tells InvestmentNews that Roth Rules, compliance reform and converging advice models redefine retirement planning in 2026.
New report highlights evolving litigation landscape including AI disclosures, ESG accountability claims.
