Annual snapshot shows registration failures, fees, and fiduciary shortfalls as top enforcement issues, with California, Texas, and Florida hosting the most state-level RIAs.
"More often than not, when two firms come together they're both Envestnet firms or we are going to end up with the lion's share of the assets," Envestnet CEO Chris Todd said amid record-breaking M&A activity for RIAs.
The New York-based exchange's bid to trade tokenized versions of listed stocks and funds comes as Washington signals a friendlier stance toward digital assets.
The integration into iCapital's platform will give advisors and qualified investors a means to rebalance portfolios through a robust buyer-seller network.
James Warring and his firm, EagleStone, charged the client unauthorized and undisclosed fees during parts of the RIA relationship, the SEC claims.
Latest annual research sheds light on demographic disparities, as well as the rising role of guaranteed income and alternative investments in workplace retirement plans.
The newly launched Wealthscape Intelligence and onboarding capabilities are designed to unlock personalized insights and reduce friction, says one tech platform leader at the firm.
Valuations are rising for well-run firms with good financials, solid growth path.
InvestmentNews finds out more from Matt Sommer, head of specialist consulting group.
Building flexibility into every plan is key to the new portfolio mindset
Beyond money management, advisors actively guide and influence their clients' lives in crucial ways.
Four-fifths of non-public banks are projected to integrate AI by 2027.
Also, Raymond James continues its Commonwealth recruitment streak, while Wells Fargo adds $1.1 billion in new assets from LPL, RBC, and TD Private Client Wealth.
The banking giant has given up its holdout position among Wall Street lenders as new jobs data from August show "clearer evidence of deterioration."
The latest updates aim to help with complex decisions around succession planning and tax changes around the One Big Beautiful Bill Act.
Stifel's total is now more than $176 million in damages, legal fees and settlements related to Chuck Roberts, who was barred from the securities industry this summer.
The newest additions to Carson's leadership come with experience from Commonwealth, LPL, Wealth.com, and SageView Advisory Group.
CFP Board, the Financial Planning Association, and the National Association of Personal Financial Advisors reiterate the need for a harmonized federal and state-level approach.
"Despite the weak headline ... Equities are reacting positively, and bonds yields down as this softer print cements a Fed rate cut in September, with the door open for more easing through year-end," said Lara Castleton of Janus Henderson Investors.
LPL, Hightower, UBS among the firms losing advisor teams in latest moves
