Amplify ETFs is acquiring the assets of ETF Managers Group, bringing under one roof funds that offer exposure to marijuana, blockchain, artificial intelligence and more.
Rodney Van Buren and Whitney Colton have launched Van Buren Wealth Management in Melbourne, Florida.
The firm reached an agreement to settle a proposed class action alleging that it knowingly benefited from former client Jeffrey Epstein's sex trafficking.
The closing of the deal allows UBS to move forward with the integration of its former rival, a process that's likely to involve thousands of job cuts.
The conservative religious leader and televangelist leaves behind a considerable estate and various nonprofit organizations.
The SEC wants advisors to disclose whether the person who's touting them is a client, is being compensated or has any conflicts of interest.
TD Ameritrade self-reported the lack of disclosure, which occurred from January 2016 to June 2021, to Finra, according to the settlement.
Doug McKelvey of South Lake, Texas, misused at least $1.5 million of funds held in brokerage accounts belonging to clients that included his mother and another elderly family member.
Houston-based Presidio Wealth Partners is leaving with nearly half of Avidian's $4 billion in assets and aspires to reach $5 billion in five years.
UBS will see its workforce, costs and balance sheet swell next week when the Credit Suisse deal likely closes, prompting it to weigh deep cuts to staffing levels and wind down riskier assets.
As independent broker-dealers’ shift toward fee revenue continued last year, here are the firms that earned the most in fees.
Sales were strong late last year amid several ETF launches in this category, but have since slowed, according to Morningstar.
The Investment Adviser Association and SIFMA say a proposed 30-day requirement is too short. But Better Markets says it should be shortened to 14 days.
A new study shows roughly 35% of Gen Xers have less than $10,000 saved, and 18% have no nest egg at all.
Both banks have recently signaled their interest in bolstering their wealth management operations, but they can't snap their fingers and conjure financial advisors from thin air.
Todd Rosel and Larry D. Smith oversee $310 million in assets and are combining their practices to form a new firm, Integrity Wealth Advisor Group.
Advisors will likely face more stringent compliance requirements as a result of the SEC's actions and may need to reassess their compliance programs to adequately address the unique risks associated with digital assets.
Marc Greenberg most recently worked at Blend, a white-label fintech that banks use to build consumer-facing digital products.
Based in Richmond, Virginia, ACG Wealth Management offers investment management, qualified plans, tax strategies and third-party administrator services.
Pittsburgh-based Clearview Federal Credit Unit has 117,000 members with more than $1.8 billion in assets.
