RIA deal volume hits new high as aging advisors, PE capital and client demands fuel consolidation.
Firms expand footprints and partner rosters as advisors weigh scale, succession and support.
Career paths, next-gen equity options, and rich C-suite capabilities are just some must-haves for firms to compete in the expanding war for talent.
Investors pulled $150 million while executives claimed "no meaningful pressure."
The broker-dealer claims the surveillance entity is burning through money it never should have collected.
Erick M. Ruiz raised millions through merchant cash advance agreements promising 10% monthly returns before federal regulators stepped in.
The California firm invested $160 million in client money to close a deal that benefited itself.
Elsewhere, NorthRock Partners adds an Ameriprise team to cross the $11 billion AUM mark, while Elevation Point adds a Merrill Lynch team overseeing $900 million in assets.
Regulator outlines early use cases for autonomous AI tools, urges governance frameworks while it continues to shape guidance around emerging technology.
Also, a pair of multigenerational advisor teams from UBS have defected in quick succession, moving to RBC and Raymond James.
UBS has been working on the plan for months, but one industry executive admits he is 'still dubious about crypto and its true value.'
The great wealth transfer isn’t a one-time windfall—it’s a decades-long process. Peter Disch reveals how advisors can stay indispensable by planning with both today’s clients and tomorrow’s heirs in mind.
New research shows confidence high, comprehensive plans lacking among Gen X investors.
Former senior wealth management executive’s accusations target Andy Sieg and an HR department that ‘reeks of institutional misogyny.’
Record household asset movement is reshaping where advisors win, lose, and grow in 2026.
A 26.74% decline in client acceptance odds for annuities suggests retirement-focused advisors should "flip the script" on standard planning conversations.
Treasury move severs 31 contracts worth $21 million after ex-contractor leaked confidential tax records belonging to the President and other wealthy individuals.
She claims he never disclosed his lost registration or his firm's NFA disciplinary history.
The VC-backed San Francisco startup is betting that “agentic” AI can help firms sift through client conversations for planning gaps and new revenue.
Partnership brings Schwab’s Wasmer Schroeder bond lineups and model portfolios onto Advyzon’s Nucleus marketplace for RIAs.
