A former NYLIFE Securities rep was permanently barred after using internet-enabled glasses to cheat on the Series 6 exam
Both of Vanguard's acquisitions have targeted the RIA industry, but the first ended in a legal settlement just weeks before buying Altruist.
Deal count fell 9% in the first half of 2026, but RIA M&A sale assets jumped 88% as larger firms draw more buyers.
The new AI feature generates instant client portfolio talking points, slashing meeting prep time for advisors.
Mercer's Ohio Valley book has grown 22x since 2019, from $100 million to $2.2 billion, following its latest $220 million addition of NorthAvenue Financial Advocates.
Windward Recruiting's Chris Bisenius describes the "threat" RIAs face as Schwab prepares to raise its client asset referral minimum again, this time to $5 million.
Merit Financial's EVP previews her Women Advisor Summit panel on using technology to scale advisor talent development.
The company's investment in the NFL legend's $1 billion athletic brand comes as Dynasty crosses $200 million in private markets funds over the last nine months.
Mercer, Focus Partners Wealth, Mariner, Creative Planning and Captrust top the leaderboard tracking AI search results for RIA firms.
Dallas-based Leon Financial Network touts its patient capital approach as an alternative to private equity-backed RIA consolidation.
