Arax acquires a boutique firm's $4 billion RIA business in Michigan as Steward Partners continues its Southwestern expansion.
Wealth management is a key focus for a new service tier.
The Labor Department's reversal from its 2022 guidance has drawn approval from crypto advocates – but fiduciaries must still mind their obligations.
With $750 million in assets and plans to hire a RIA Growth Lead, Autopilot is moving beyond retail to court advisors with separately managed accounts and integrations with RIA custodians such as Schwab and Fidelity.
Elsewhere on the East Coast, a Boca Raton-headquartered shop has acquired a fellow Florida-based RIA in "a natural evolution for both organizations."
After advising on nearly $700 million in retirement assets, 27-year veteran Greg Mykytyn is bringing his expertise in ESOP and 401(k) plans to the national RIA in Texas.
The defectors from Cetera, Lincoln Investments, and DA Davidson strengthen the firms' presence across the Eastern and Western US.
InvestmentNews is searching for the country's emerging young talents.
Focus gets back to external M&A after its January rebrand, while Cerity enters the Arizona market with a veteran planning-focused team.
Complaint details near decade-long scheme raising almost $40 million from dozens of clients, including Venezuelan nationals, Catholic dioceses, and elderly individuals.
A veteran with more than two decades of experience, Andina Andreson represents the latest in a string of recent leadership changes at the firm.
The latest additions to RBC's long history of attracting billion-dollar UBS teams have bolstered its presence in Boise, Idaho.
The controversial hedge fund manager fails to stop the SEC from moving forward with a potential industry ban, after a federal judge rejects constitutional claims.
Former HSBC mergers supremo joins firm as a vice chair of M&A.
Wall Street titan rebuffs allegations by Dutch prosecutors.
A public pension fund’s legal fight with activist investors over a $34.6 million Big Lots share sale isn’t over yet. Here’s why the court hit pause on the dismissal.
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.
FINRA has been focused on firms and their use of social media for several years.
The two wealth tech firms are continuing to expand their reach among firms as they support advisor productivity and client data protection.
