New guidance highlights a risk‑based approach, pressing firms to formalize review processes, clarify business‑record obligations, and align AI deployment with fiduciary duties.
After an executive shuffle last month, the "Schwoomerang" leader from LPL is stepping up as the RIA custody giant looks to address growing complexity in the RIA space.
EP Wealth also expanded in Phoenix with a father-and-son led planning firm, while Integrated Partners extended its reach in Michigan.
The Connecticut practice, led by two LPL veterans, arrives as Cetera steps up its charm offensive for advisors seeking new affiliations.
Coasting off its summer rebrand, the New Jersey-based RIA is leaning on its W2 advisor equity model and Rise Growth backing as it builds out a national footprint.
Experts hired by Tony Hsieh’s more than $500 million estate point to alleged forgeries, nonexistent witnesses, and missing records as they call for the document to be scrapped.
Elsewhere, mega-RIA Mercer Advisors expanded in Idaho with a female-led boutique firm, while AssetMark adds another $3 billion in client assets.
New estate and retirement income tools widen the planning playbook for Cetera’s 12,000 advisors, with an eye on tax, financial security, and multi-generational relationships.
Data show firms overwhelmingly "draft" and develop junior advisors in-house, but C-level leaders say senior hiring can bring strategic wins for ensemble-based practices.
Raymond James is turning to the longtime asset management executive to steer its multi-boutique platform while supporting an aggressive ETF build-out.
