Advisor News

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SEC bars ex-broker who sold clients phony private equity fund
REGULATION AND LEGISLATION JUL 18, 2025
SEC bars ex-broker who sold clients phony private equity fund

Rajesh Markan earlier this year pleaded guilty to one count of criminal fraud related to his sale of fake investments to 10 clients totaling $2.9 million.

By Bruce Kelly
The key to attracting and retaining the next generation of advisors? Client-focused training
OPINION JUL 18, 2025
The key to attracting and retaining the next generation of advisors? Client-focused training

From building trust to steering through emotions and responding to client challenges, new advisors need human skills to shape the future of the advice industry.

By Leo Almazora
Chuck Roberts, ex-star at Stifel, barred from the securities industry
WIREHOUSES JUL 18, 2025
Chuck Roberts, ex-star at Stifel, barred from the securities industry

"The outcome is correct, but it's disappointing that FINRA had ample opportunity to investigate the merits of clients' allegations in these claims, including the testimony in the three investor arbitrations with hearings," Jeff Erez, a plaintiff's attorney representing a large portion of the Stifel clients, said.

By Bruce Kelly
SEC to weigh ‘innovation exception’ tied to crypto, Atkins says
REGULATION AND LEGISLATION JUL 18, 2025
SEC to weigh ‘innovation exception’ tied to crypto, Atkins says

Chair also praised the passage of stablecoin legislation this week.

By Bloomberg
Brooklyn-based Maridea snaps up former LPL affiliate to expand in the Midwest
RIA NEWS JUL 17, 2025
Brooklyn-based Maridea snaps up former LPL affiliate to expand in the Midwest

Maridea Wealth Management's deal in Chicago, Illinois is its first after securing a strategic investment in April.

By Leo Almazora
Trump executive order set to ease path for private assets in 401(k)s, but hurdles remain
RETIREMENT PLANNING JUL 17, 2025
Trump executive order set to ease path for private assets in 401(k)s, but hurdles remain

A new PitchBook analysis unpacks sticking points relating to liquidity, costs, and litigation risk for would-be investors and plan sponsors.

By Leo Almazora
Vestmark, BlackRock, iCapital, and Dynasty forge four-way private market partnership
ALTERNATIVES JUL 17, 2025
Vestmark, BlackRock, iCapital, and Dynasty forge four-way private market partnership

The collaboration will give RIAs yet another access point into the alternatives space through a new unified managed account capability.

By Leo Almazora
DeVoe: Record-breaking RIA M&A run led by private equity's consolidator comeback
RIA NEWS JUL 17, 2025
DeVoe: Record-breaking RIA M&A run led by private equity's consolidator comeback

A drop in interest rates and easier access to capital has reignited appetite among private equity-backed consolidators, who accounted for 53% of RIA deals so far this year- their highest share since 2021 according to DeVoe & Company.

By Andrew Cohen
Trump raises pressure on Powell while calling firing 'unlikely'
REGULATION AND LEGISLATION JUL 17, 2025
Trump raises pressure on Powell while calling firing 'unlikely'

"Unless he has to leave for fraud".

By Bloomberg
Trump ‘Crypto Week’ advances as house conservatives end blockade
REGULATION AND LEGISLATION JUL 17, 2025
Trump ‘Crypto Week’ advances as house conservatives end blockade

Hardliners give way to pressure to approve consideration of bills.

By Bloomberg
Middle-income households under pressure as finances are squeezed
RETIREMENT PLANNING JUL 17, 2025
Middle-income households under pressure as finances are squeezed

Financial resilience is at risk as cost of living strains budgets.

By Steve Randall
Fintech bytes: Advisor360, Nitrogen unveil AI updates for advisor productivity
FINTECH JUL 16, 2025
Fintech bytes: Advisor360, Nitrogen unveil AI updates for advisor productivity

Also, Advisor CRM announces a new data integration partnership to ease the pain of client onboarding.

By Leo Almazora
Bank of America, Morgan Stanley earnings roll despite roiled markets
WIREHOUSES JUL 16, 2025
Bank of America, Morgan Stanley earnings roll despite roiled markets

Meanwhile, Merrill Lynch intends to continue building its alternative investment platform for wealthy clients.

By Bruce Kelly
David Fischer of Independent Financial Group talks culture, future growth
INDEPENDENT BROKER DEALERS JUL 16, 2025
David Fischer of Independent Financial Group talks culture, future growth

The co-founder of IFG discussed with InvestmentNews the unique opportunity that remaining independent offers to build a successful firm.

By Andy Burt
Wealth Consulting Group taps veterans from Envestnet, Emigrant Partners for new advisory board
INDEPENDENT BROKER DEALERS JUL 16, 2025
Wealth Consulting Group taps veterans from Envestnet, Emigrant Partners for new advisory board

Three industry leaders will join the hybrid RIA's president and LPL alum, Andy Kalbaugh, to help guide its organic and merger-based growth strategy.

By Leo Almazora
AI, branding, and social media emerge as key factors in attracting next-gen advisors, J.D. Power finds
INDEPENDENT BROKER DEALERS JUL 16, 2025
AI, branding, and social media emerge as key factors in attracting next-gen advisors, J.D. Power finds

Latest survey shows digital tactics and empowerment top of mind for early-career advisors to be satisfied with their firms.

By Leo Almazora
JPMorgan's surprise dealmaking gain shows tariff fear easing
WIREHOUSES JUL 16, 2025
JPMorgan's surprise dealmaking gain shows tariff fear easing

Investment banking fees far exceeded analysts' expectations.

By Bloomberg
Record low expense ratios are empowering retirement savers and their advisors
RETIREMENT PLANNING JUL 16, 2025
Record low expense ratios are empowering retirement savers and their advisors

Mutual fund fees have improved thanks to the significant progress made, report shows.

By Steve Randall
Americans face a tough climb to seven-figure retirement comfort goal
RETIREMENT PLANNING JUL 15, 2025
Americans face a tough climb to seven-figure retirement comfort goal

Many are unprepared – and know it – according to a new survey.

By Steve Randall
M&A roundup: Creative Planning, Bluespring, Atlas announce activity this week
RIA NEWS JUL 15, 2025
M&A roundup: Creative Planning, Bluespring, Atlas announce activity this week

Latest mergers and acquisitions reflect continued rise of industry dealmaking.

By Steve Randall