Advisor News

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Why the off-channel comms problem is far from solved
PRACTICE MANAGEMENT MAY 28, 2025
Why the off-channel comms problem is far from solved

Despite a lighter regulatory outlook and staffing disruptions at the SEC, one compliance expert says RIA firms shouldn't expect a "free pass."

By Leo Almazora
RIA moves: Carson Group marks deal milestone as Simon Quick continues slow-growth strategy
MERGERS & ACQUISITIONS MAY 28, 2025
RIA moves: Carson Group marks deal milestone as Simon Quick continues slow-growth strategy

Carson has fully acquired another firm in Florida, while Simon Quick Advisors finds its third perfect-fit partner in a Las Vegas-based boutique.

By Leo Almazora
FINRA penalizes another broker dealer for social media miscues
INDEPENDENT BROKER DEALERS MAY 28, 2025
FINRA penalizes another broker dealer for social media miscues

FINRA has been focused on firms and their use of social media for several years.

By Bruce Kelly
Fintech bytes: Zocks lands Commonwealth partnership, Visory powers cybersecurity for Modern Wealth
FINTECH MAY 28, 2025
Fintech bytes: Zocks lands Commonwealth partnership, Visory powers cybersecurity for Modern Wealth

The two wealth tech firms are continuing to expand their reach among firms as they support advisor productivity and client data protection.

By Leo Almazora
Advisor moves: LPL recruits Merrill alum, Raymond James adds defectors from Edward Jones and Janney
INDEPENDENT BROKER DEALERS MAY 28, 2025
Advisor moves: LPL recruits Merrill alum, Raymond James adds defectors from Edward Jones and Janney

RayJay's latest additions bolster its independent advisor channel's presence across Pennsylvania, Florida, and Washington.

By Leo Almazora
Cantor Fitzgerald to acquire hedge fund unit from UBS
WIREHOUSES MAY 28, 2025
Cantor Fitzgerald to acquire hedge fund unit from UBS

The deal ending more than 30 years of ownership by the Swiss bank includes six investment strategies representing more than $11 billion in AUM.

By Bloomberg
Fresh off Robinhood acquisition, TradePMR unveils AdvisorEngine partnership
FINTECH MAY 28, 2025
Fresh off Robinhood acquisition, TradePMR unveils AdvisorEngine partnership

Advisor platform integration offers RIAs unified access to portfolio tools, CRM, and customizable client experience.

By Leo Almazora
Is it time to accept that Wall Street is not the future of financial services?
FINTECH MAY 28, 2025
Is it time to accept that Wall Street is not the future of financial services?

Report says traditional banks are at risk of being sideline in evolving industry.

By Steve Randall
Financial advisor access is really important to employees, Morgan Stanley reveals
WIREHOUSES MAY 28, 2025
Financial advisor access is really important to employees, Morgan Stanley reveals

Research finds contributions to 401(k)s are dropping due to economic fears.

By Steve Randall
Navigating life’s big transitions for women clients
OPINION MAY 27, 2025
Navigating life’s big transitions for women clients

Divorce, widowhood, and retirement are events when financial advisors may provide stability and guidance.

Rethink cybersecurity disclosure rule, SIFMA urges SEC
FINTECH MAY 27, 2025
Rethink cybersecurity disclosure rule, SIFMA urges SEC

The industry group and other financial associations called out risks from premature disclosures, overreporting, and bad actors weaponizing the rule's requirements.

By Leo Almazora
Blackstone, Wellington Management, and Vanguard Group to run new interval fund; face big questions
ALTERNATIVES MAY 27, 2025
Blackstone, Wellington Management, and Vanguard Group to run new interval fund; face big questions

In regards to the new fund, called WVB All Markets Fund, Morningstar analysts wrote that, "despite the brand-name pedigree of the asset managers involved, most of these strategies are untested."

By Bruce Kelly
Gen AI gathers momentum as wealth firms scale digital plans
FINTECH MAY 27, 2025
Gen AI gathers momentum as wealth firms scale digital plans

New Broadridge survey reveals surge in AI investments, with a third of respondents expecting a payoff within six months.

By Leo Almazora
Ritholtz Wealth Management touts authenticity, JPMorgan woos well-heeled clients with new locations
WIREHOUSES MAY 27, 2025
Ritholtz Wealth Management touts authenticity, JPMorgan woos well-heeled clients with new locations

RWM has unveiled its newest office in Chicago's iconic Salt District as JPMorgan Chase bares plans to scale across four states.

By Leo Almazora
'Revenge tax' to hit US allies with tax rules tagged unfair by Trump
REGULATION AND LEGISLATION MAY 27, 2025
'Revenge tax' to hit US allies with tax rules tagged unfair by Trump

A section of the House-approved bill targeting counterparties in decades-old treaties could impact institutional investors, as well as retail participants and businesses with US interests.

By Bloomberg
Advisor moves: Ex-Focus wealth manager hops to Stratos affiliate, LPL welcomes former RBC advisor
INDEPENDENT BROKER DEALERS MAY 27, 2025
Advisor moves: Ex-Focus wealth manager hops to Stratos affiliate, LPL welcomes former RBC advisor

A veteran with global roots strengthens Twenty Four Wealth's presence in Connecticut, while LPL's newest employee advisor comes with experience from the sports industry.

By Leo Almazora
US fund managers are caving in to Trump warns $65B pension fund
RETIREMENT PLANNING MAY 27, 2025
US fund managers are caving in to Trump warns $65B pension fund

PME says old benchmarking frameworks are not working now.

By Bloomberg
New IRA account claims to make retirees millionaires with science-backed formula
RETIREMENT PLANNING MAY 27, 2025
New IRA account claims to make retirees millionaires with science-backed formula

Money Anxiety Index creator Dr. Dan Geller talks with InvestmentNews to explain.

By Steve Randall
Don't stop fighting for Retirement Security Rule, financial planning coalition urges DOL
RETIREMENT PLANNING MAY 23, 2025
Don't stop fighting for Retirement Security Rule, financial planning coalition urges DOL

The collective of groups including CFP Board, the FPA, NAPFA, and XYPN called for continued support in a legal battle to reinforce clients' best interests.

By Leo Almazora
RIA wrap: The Mather Group enhances Bay Area presence as Prosperity Capital bolsters C-suite
RIA NEWS MAY 23, 2025
RIA wrap: The Mather Group enhances Bay Area presence as Prosperity Capital bolsters C-suite

TMG adds to its $14 billion in AUM and AUA with a new California partnership while Cleveland-based Prosperity welcomes two veterans to its leadership.

By Leo Almazora