M Holdings' failure to maintain written policies led to a third-party breach that compromised multiple email accounts and impacted 8.500 individuals, according to the regulator.
A.G. Morgan Financial Advisors and two executives recently lost four FINRA arbitration cases brought by their clients.
Women in the US are facing greater financial and career pressures compared to their male peers, according to two new surveys.
The consolidating RIA market is prone to "outdated ADV disclosures to billing errors and supervision lapses," compliance consultant Kaitlyn Wulfken says, as the SEC flags M&A.
When reached for comment, Blue Owl co-president Craig Packer wrote to InvestmentNews: "The assertion that the merger is currently being considered for revival is false."
The veteran advisors are bringing $350 million in assets and decades of experience to the giant hybrid RIA in the East Coast.
The fintech provider argues federal and state regulatory guidance, plan sponsors, and retirement advisors all support the case for encrypted credentialing as an alternative to APIs.
Even with continued profits in private markets, report projects just two-fifths of firms are set to thrive by 2030 amid chronic cost challenges.
Seasoned veterans positioned to drive growth in increasingly competitive industry.
Meanwhile, UBS to lay off 58 in New Jersey early next year.
Merit president Kay Lynn Mayhue told InvestmentNews that Chicago will scale into “a $10 billion city within short order,” as ex-Commonwealth team Blueprint Wealth Advisors starts its Windy City presence.
Squires said 2025 underscored the resilience of financial advisors and the philanthropic core of the industry, including his own role at the nonprofit Invest in Others.
Client loyalty, next-gen relationships, and organic AUM growth are increasingly driven by a single factor: helping families protect and transfer their wealth, says Gene Farrell, CEO of Vanilla.
Move over Dave Ramsey. Here come Kingdom Advisors.
With 2024 fraud losses topping $29 billion among older adults, the partnership reflects growing urgency to detect AI fraud and elder financial exploitation.
Fidelity finds average 401(k), IRA and 403(b) balances all hit new highs in Q3, driven by steady savings and stock market gains.
Latest JD Power ranking spotlights role of AI assistants, digital experience for leading advised and DIY platforms.
Firm's senior investment leaders have been speaking at a roundtable.
LPL has taken a minority stake in the $40 billion RIA and OSJ Private Advisor Group, continuing a string of moves from broker-dealers to directly capitalize on assets from independent advisors.
Industry group says policy switch to electronic delivery, overwhelming supported by Americans, could save funds and investors up to $4 billion.
