Final rule moves roughly two-thirds of SEC-registered RIAs under the Regulatory Flexibility Act’s small-business lens, up from about 3%
The firm's own reports showed the problem. The complaint says it did nothing.
The complaint points to interest rate risk and AI disruption the BDC allegedly ignored.
Fee-only RIA welcomes a 50-year-old Southern California firm as its agentic AI platform, becomes part of the pitch to selling advisors
A four-advisor group from UBS joins Raymond James in Beachwood while a 36-year Cetera veteran moves his $390 million practice to LPL.
Knighthead Life entered the market with a competitive MYGA. A strong launch earned advisor confidence and paved the way for FIAs.
As AI makes financial information more accessible than ever, Lana Hock explains why human judgment, trust, and empathy remain the qualities clients value most in a financial advisor