If clients are holding NFTs in their individual retirement accounts, review them to see which tokens are acceptable assets and which may be deemed a collectible under IRS guidance.
The SEC's current definition of small advisors is 'antiquated,' which means the agency's regulations are not properly calibrated for such firms, the Investment Adviser Association said.
The firm allegedly failed to supervise Joseph Crespi, whose trading activity prompted 135 internal alerts over 12 months, according to the office of Massachusetts Secretary of the Commonwealth William Galvin.
Meanwhile, any recent recruiting deals First Republic had struck with advisors will remain in place now that the bank has been acquired by JPMorgan Chase.
The new Dynasty Investment Bank will cater to buyers and seller regardless of whether they're part of the Dynasty partnership network.
Investors have filed more than 140 shareholder resolutions this year, pressing companies to improve employees’ health and safety.
Connecticut-based H&H is led by president Richard S. Sych and has 68 employees.
Donors who have had their accounts for 10 years or more last year issued grants that were 61% larger on average than those from donors with a tenure of six years or less.
Austin, Texas-based Brainard represents a key market for Pathstone's focus on family office services.
Naratil will become the firm's chief financial officer and lead the division that will oversee the Credit Suisse merger, a Swiss newspaper reports.
JPMorgan and the FDIC, which orchestrated the sale, agreed to share the burden of losses, as well as any recoveries, on the firm's single-family and commercial loans.
The giant firms face an approaching winter as they become less prominent in the overall advisory business.
With cheerleaders on the left and critics on the right, the chair of the Securities and Exchange Commission stays focused on what matters.
The SEC chair says the views of Republican commissioners can influence rules, even if unanimous support can't be achieved.
Protective’s Jim Wagner explains what advisors should look for as they prepare clients to begin drawing on their assets for income in a market unlike any they’ve seen.
The bidding process could pave the way for a tidier sale of First Republic than the drawn-out auctions that followed the failures of Silicon Valley Bank and Signature Bank last month.
The bank's stock fell amid speculation that a takeover by regulators, while not the only possibility in play, is becoming more likely.
Improving the digital experience for advisors and clients was a significant theme; Envestnet also announced a partnership with Empower to give advisors easy access to retirement plans.
LPL's advisor head count totaled 21,521 at the end of Q1, an increase of 246 advisors from the previous quarter and up 1,430 year over year.
CI claims to have tripled its return on its original minority investment in Congress Wealth Management.
