Advisor News

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Maryland bars advisor over charging excessive fees to clients
REGULATION AND LEGISLATION JUN 13, 2025
Maryland bars advisor over charging excessive fees to clients

Blue Anchor Capital Management and Pickett also purchased “highly aggressive and volatile” securities, according to the order.

By Bruce Kelly
Wave of SEC appointments signals regulatory shift with implications for financial advisors
REGULATION AND LEGISLATION JUN 13, 2025
Wave of SEC appointments signals regulatory shift with implications for financial advisors

Reshuffle provides strong indication of where the regulator's priorities now lie.

By Matthew Sellers
US insurers want to take a larger slice of the retirement market through the RIA channel
RETIREMENT PLANNING JUN 12, 2025
US insurers want to take a larger slice of the retirement market through the RIA channel

Goldman Sachs Asset Management report reveals sharpened focus on annuities.

By Steve Randall
Why DA Davidson's wealth vice chairman still follows his dad's investment advice
INDEPENDENT BROKER DEALERS JUN 12, 2025
Why DA Davidson's wealth vice chairman still follows his dad's investment advice

Ahead of Father's Day, InvestmentNews speaks with Andrew Crowell.

By Steve Randall
401(k) participants seek advice, but few turn to financial advisors
RETIREMENT PLANNING JUN 12, 2025
401(k) participants seek advice, but few turn to financial advisors

Cerulli research finds nearly two-thirds of active retirement plan participants are unadvised, opening a potential engagement opportunity.

By Leo Almazora
Court revives lawsuit over 15% fund return promise
REGULATION AND LEGISLATION JUN 12, 2025
Court revives lawsuit over 15% fund return promise

'Nostradamus' real estate entrepreneur accused of misleading investors on social media despite SEC's objections.

By Matthew Sellers
Los Angeles Federal Credit Union splits from LPL's CFS to Cetera
INDEPENDENT BROKER DEALERS JUN 12, 2025
Los Angeles Federal Credit Union splits from LPL's CFS to Cetera

LPL loses another institutional client as Cetera adds a $160 million win to its credit union partnership streak.

By Leo Almazora
UBS keeps focus on costs in US wealth management business
WIREHOUSES JUN 12, 2025
UBS keeps focus on costs in US wealth management business

Meanwhile, the bank is also investing in technology for its financial advisors in the United States.

By Bruce Kelly
Osaic CEO Jamie Price: Going for growth
INDEPENDENT BROKER DEALERS JUN 12, 2025
Osaic CEO Jamie Price: Going for growth

Price recounts his firm’s meteoric rise and looks ahead to further expansion in a rapidly changing industry

By Gregg Greenberg
Vanguard seeking SEC green light to expand trademark tax-busting fund design
ETFS JUN 12, 2025
Vanguard seeking SEC green light to expand trademark tax-busting fund design

The Jack Bogle-founded firm is looking to apply its famed dual-share class structure to actively managed strategies.

By Bloomberg
Advisor moves: LPL and Raymond James add veteran advisors in California
INDEPENDENT BROKER DEALERS JUN 12, 2025
Advisor moves: LPL and Raymond James add veteran advisors in California

LPL welcomes a Beverly Hills-based practice from Wedbush Securities as RayJay adds a Stifel alum to its employee advisor arm.

By Leo Almazora
Is the SEC's private fund exemption rule about to change?
ALTERNATIVES JUN 12, 2025
Is the SEC's private fund exemption rule about to change?

House bill seeks inflation-based adjustment to private fund advisor exemption.

Congress pushes to make fintech oversight offices permanent at SEC, CFTC
REGULATION AND LEGISLATION JUN 12, 2025
Congress pushes to make fintech oversight offices permanent at SEC, CFTC

A new House measure would enshrine FinHub and LabCFTC as permanent fixtures, deepening ties with financial technology sector.

CFP Board names Barry Gersten head technology officer
FINTECH JUN 12, 2025
CFP Board names Barry Gersten head technology officer

The seasoned IT leader arrives as the credentialing body for CFP professionals considers AI's implications for the future of financial planning.

By Leo Almazora
FINRA and advisors' other work
INDEPENDENT BROKER DEALERS JUN 12, 2025
FINRA and advisors' other work

The brokerage industry regulator once again takes a stab at updating rules for independent brokers with other businesses and jobs

By Bruce Kelly
Minority capital comes with caution
RIA NEWS JUN 12, 2025
Minority capital comes with caution

Transactions have slowed according to recent data as industry insider warns that the trip doesn't always match the brochure when minority investors come onboard.

By Andrew Cohen
SEC chair says hedge funds may have to submit less data
REGULATION AND LEGISLATION JUN 12, 2025
SEC chair says hedge funds may have to submit less data

Paul Atkins wants agency staff to narrow the scope of filing requirements.

By Bloomberg
Old-school referrals still rule
EXPERT ADVICE JUN 12, 2025
Old-school referrals still rule

As technology evolves, financial advisors get more creative and sophisticated with marketing efforts, but traditional methods remain effective.

By Jeff Benjamin
Retirees may need to be less cautious with investments, says Concurrent retirement expert
RETIREMENT PLANNING JUN 11, 2025
Retirees may need to be less cautious with investments, says Concurrent retirement expert

With balances in 401(k) accounts slipping, it's even more important to maximize funds.

By Steve Randall
EdgeCo bolsters AmericanTCS unit with ERISApedia deal
RETIREMENT PLANNING JUN 11, 2025
EdgeCo bolsters AmericanTCS unit with ERISApedia deal

The NewEdge parent company's 10th transaction in the retirement space adds compliance and prospecting support capabilities for plan advisors and other intermediaries.

By Leo Almazora