Advisor News

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Edward Jones to bring overlay management in-house with Natixis deal
INDEPENDENT BROKER DEALERS JUN 30, 2025
Edward Jones to bring overlay management in-house with Natixis deal

The broker-dealer giant's latest acquisition agreement extends its push towards offering enhanced financial planning and investment management.

By Leo Almazora
Financial services consolidation deals among key trends for M&A, report says
MERGERS & ACQUISITIONS JUN 30, 2025
Financial services consolidation deals among key trends for M&A, report says

Resilient market will be led by companies that don't shy away from deals.

By Steve Randall
Advisors targeted in 'pretexting' phishing scam impersonating SEC
REGULATION AND LEGISLATION JUN 27, 2025
Advisors targeted in 'pretexting' phishing scam impersonating SEC

Financial services compliance consultant ACA Group told InvestmentNews it had four clients report receiving emails that impersonated David Bottom, the SEC's chief information officer, with smaller firms being targeted.

By Andrew Cohen
'Independence Stories': Show conviction and clients will make the transition
PRACTICE MANAGEMENT (GORIA) JUN 27, 2025
'Independence Stories': Show conviction and clients will make the transition

Financial advisor Derek Wittjohann shares the lessons he learned after leaving a major wirehouse to set up his own practice in the second installment of InvestmentNews' new 'Independence Stories' series.

By Gregg Greenberg
Building a legacy that lasts: why succession planning needs to start on day one
OPINION JUN 27, 2025
Building a legacy that lasts: why succession planning needs to start on day one

Whether a firm manages $50 million or $5 billion in client assets, building a succession strategy needs to be a priority at least a decade out from retirement.

By John Roberts
Cambridge Investment Research snags giant hybrid office with $11.9 billion in assets from Osaic
INDEPENDENT BROKER DEALERS JUN 27, 2025
Cambridge Investment Research snags giant hybrid office with $11.9 billion in assets from Osaic

RIA assets are key for broker-dealers right now.

By Bruce Kelly
Ex-Pennsylvania RIA hit with 8-year sentence over $23M client fraud
REGULATION AND LEGISLATION JUN 27, 2025
Ex-Pennsylvania RIA hit with 8-year sentence over $23M client fraud

The former investment advisor misled clients in a decade-long scheme to fund international travel expenses, country club fees, and other personal expenses, according to three government agencies.

By Leo Almazora
UBS advisor drain continues as RBC lures $1.1B team in New York
WIREHOUSES JUN 27, 2025
UBS advisor drain continues as RBC lures $1.1B team in New York

News of the nine-person team's defection comes as the Swiss-based wirehouse welcomes a 25-year veteran from Wilmington Trust.

By Leo Almazora
Treasury says 'revenge tax' will go from 'big beautiful' bill
REGULATION AND LEGISLATION JUN 27, 2025
Treasury says 'revenge tax' will go from 'big beautiful' bill

Agreement reached with G-7 allies will benefit US companies.

By Bloomberg
Stablecoin bill could be ready for Trump signature in weeks
REGULATION AND LEGISLATION JUN 27, 2025
Stablecoin bill could be ready for Trump signature in weeks

House Republicans aim to get the legislation through imminently.

By Bloomberg
Mercer grows ownership to majority of staff with 674 employee shareholders
PRACTICE MANAGEMENT (GORIA) JUN 26, 2025
Mercer grows ownership to majority of staff with 674 employee shareholders

CEO Dave Welling tells IN that the $72 billion mega-RIA has 'become the catalyst for employee ownership through M&A partnership.'

By Andrew Cohen
'Independence Stories': Don't let fear of the unknown hold you back
PRACTICE MANAGEMENT (GORIA) JUN 26, 2025
'Independence Stories': Don't let fear of the unknown hold you back

Financial advisor Stephen Davis shares the lessons he learned after leaving a national broker/dealer to set up his own shop in the first of a new InvestmentNews series in advance of Independence Day.

By Gregg Greenberg
Envestnet sells off Yodlee to PE firm STG
FINTECH JUN 26, 2025
Envestnet sells off Yodlee to PE firm STG

The "strategic divestiture" comes after years of legal challenges and speculation swirling around the analytics and data aggregation platform.

By Leo Almazora
Merit adds $569M with latest niche advisory acquisitions
RIA NEWS JUN 26, 2025
Merit adds $569M with latest niche advisory acquisitions

The $15.96 billion RIA is extending its footprint with a dentist-oriented Midwest practice and another Pacific Northwest team with an aerospace industry focus.

By Leo Almazora
Citizens adds $1.5 billion New York team as it accelerates wealth push
INDEPENDENT BROKER DEALERS JUN 26, 2025
Citizens adds $1.5 billion New York team as it accelerates wealth push

The firm expands its Tri-State presence with a veteran advisor group from New York, while LPL and Osaic also report smaller additions in Texas and the Hudson Valley.

By Leo Almazora
Trump says three or four names could replace Fed's Powell
REGULATION AND LEGISLATION JUN 26, 2025
Trump says three or four names could replace Fed's Powell

The president wants to oust 'terrible' central bank chair.

By Bloomberg
Wealth managers must prioritize advisor enablement to drive organic growth
INDEPENDENT BROKER DEALERS JUN 26, 2025
Wealth managers must prioritize advisor enablement to drive organic growth

Industry at a ‘pivotal juncture’ as some traditional levers of growth become unreliable.

By Steve Randall
Black Americans’ retirement needs highlight importance of bespoke approach to planning
RETIREMENT PLANNING JUN 26, 2025
Black Americans’ retirement needs highlight importance of bespoke approach to planning

Report highlights specific financial challenges faced by significant cohort.

By Steve Randall
Spiffed up BDCs, REITs are pricy, lean on leverage: Morningstar
ALTERNATIVES JUN 25, 2025
Spiffed up BDCs, REITs are pricy, lean on leverage: Morningstar

"Semiliquid funds are making private markets more accessible but are much pricier than public market funds," according to Morningstar.

By Bruce Kelly
Who's still falling behind? Vanguard report shows retirement divide despite record participation
RETIREMENT PLANNING JUN 25, 2025
Who's still falling behind? Vanguard report shows retirement divide despite record participation

Despite record plan participation, many workers remain at risk of inadequate retirement savings as Social Security's future grows more uncertain.

By Leo Almazora