Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."
Carson has fully acquired another firm in Florida, while Simon Quick Advisors finds its third perfect-fit partner in a Las Vegas-based boutique.
The model has surged in popularity thanks to its fiduciary appeal, but the show is far from over for no-fee and commission-based arrangements.
The two wealth tech firms are continuing to expand their reach among firms as they support advisor productivity and client data protection.
RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.
Advisor platform integration offers RIAs unified access to portfolio tools, CRM, and customizable client experience.
The industry group and other financial associations called out risks from premature disclosures, overreporting, and bad actors weaponizing the rule's requirements.
New Broadridge survey reveals surge in AI investments, with a third of respondents expecting a payoff within six months.
RWM has unveiled its newest office in Chicago's iconic Salt District as JPMorgan Chase bares plans to scale across four states.
Breaking away from First Citizens Bank, the latest team to join Ashton Thomas in San Francisco bring nearly a billion dollars in assets.
