RIA News

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Crypto, collectibles, and lending should count in outside business oversight, NASAA tells Finra
REGULATION AND LEGISLATION MAY 16, 2025
Crypto, collectibles, and lending should count in outside business oversight, NASAA tells Finra

State regulators coalition urge additions to proposed rule change, including activities at unaffiliated investment advisers and stricter recordkeeping.

By Leo Almazora
Seeking success from succession with Josh Gerry
RIA NEWS MAY 16, 2025
Seeking success from succession with Josh Gerry

VestGen's CEO explains why his new venture will flourish in a crowded, crazy market.

By Gregg Greenberg
Trump tax bill fails in House panel as divided GOP fails to make a deal
RIA NEWS MAY 16, 2025
Trump tax bill fails in House panel as divided GOP fails to make a deal

In rare setback, the proposed legislation was rejected in a split vote over holdouts' demands on Medicaid, clean energy tax credits, and polarizing SALT deductions.

By Bloomberg
Avantax, Cary Street Partners reveal latest acquisitions
INDEPENDENT BROKER DEALERS MAY 16, 2025
Avantax, Cary Street Partners reveal latest acquisitions

The tax-focused community within Cetera deepens an existing partnership as CSP grows to $10.7 billion in AUM with a new Florida location.

By Leo Almazora
Suspended broker went all in with alternative investment GWG bonds: FINRA
ALTERNATIVES MAY 16, 2025
Suspended broker went all in with alternative investment GWG bonds: FINRA

"It should be literally impossible for a broker to put 96% of a client's money in any investment," said one attorney.

By Bruce Kelly
Wall Street dollar sentiment stays dour amid lingering trade unease
ALTERNATIVES MAY 16, 2025
Wall Street dollar sentiment stays dour amid lingering trade unease

The greenback's wild slide has continued as erratic US policymaking spurs a "love-hate" relationship with international investors.

By Bloomberg
Advisor moves: RBC, Wells Fargo welcome UBS alums
INDEPENDENT BROKER DEALERS MAY 16, 2025
Advisor moves: RBC, Wells Fargo welcome UBS alums

Meanwhile, Raymond James bolsters its employee advisor channel with a former Janney pair in Pennsylvania.

By Leo Almazora
US futures rise, S&P 500 on track for strong week
RIA NEWS MAY 16, 2025
US futures rise, S&P 500 on track for strong week

Easing trade tensions continue to boost market.

By Bloomberg
Fed's Bostic sees one cut, no recession in 2025
RIA NEWS MAY 16, 2025
Fed's Bostic sees one cut, no recession in 2025

Uncertainty looks set to be here for some time, Atlanta Fed president warns.

By Bloomberg
Trump set to keep 30% China tariffs until late 2025
RIA NEWS MAY 16, 2025
Trump set to keep 30% China tariffs until late 2025

Analysts, investors believe trade barriers will return after pause.

By Bloomberg
Why sugar could prove a sweet investment in 2025
RIA NEWS MAY 16, 2025
Why sugar could prove a sweet investment in 2025

Global supply glut outlook slashed by major producer.

By Bloomberg
Edelman: What advisors should know about purposeful retirement
RETIREMENT PLANNING MAY 16, 2025
Edelman: What advisors should know about purposeful retirement

InvestmentNews speaks with $293B firm’s Isabel Barrow

By Steve Randall
Investors remain bearish about the US stock market, Schwab reveals
EQUITIES MAY 16, 2025
Investors remain bearish about the US stock market, Schwab reveals

Sentiment remains under pressure as trade, recession concerns endure.

By Steve Randall
Florida advisor gets eight-year sentence for illegal tax shelter scheme, stealing client funds
RIA NEWS MAY 15, 2025
Florida advisor gets eight-year sentence for illegal tax shelter scheme, stealing client funds

The fraudulent "royalty payments" scheme, which involved $106 million in false tax deductions claimed over nearly a decade, reportedly cost the IRS $37 million in tax losses.

By Leo Almazora
GOP tax chair stands behind $30k SALT cap
RIA NEWS MAY 15, 2025
GOP tax chair stands behind $30k SALT cap

The Republican leader balked at calls to raise the tax deduction, which has been one of the stickiest wickets blocking President Donald Trump's legislative agenda.

By Bloomberg
'I emoted a little bit': JPMorgan's Dimon owns remote-work blowup, stands firm on RTO
PRACTICE MANAGEMENT MAY 15, 2025
'I emoted a little bit': JPMorgan's Dimon owns remote-work blowup, stands firm on RTO

The Wall Street giant's CEO defends its office-first policy while others argue for remote flexibility, especially for working mothers.

By Leo Almazora
Five Atria-affiliated credit unions depart to Osaic
RIA NEWS MAY 15, 2025
Five Atria-affiliated credit unions depart to Osaic

The latest defections from CUSO Financial Services, which operates within LPL, add nearly $500 million in client assets to Osaic's institutional platform.

By Leo Almazora
Is LPL's new ad campaign 'pitch perfect' for advisors?
INDEPENDENT BROKER DEALERS MAY 15, 2025
Is LPL's new ad campaign 'pitch perfect' for advisors?

The campaign series features "Pitch Perfect" film star Anna Kendrick delivering the message, "What if you could?"

By Bruce Kelly
Powell hints at Fed scrapping its 2020 framework revamp
RIA NEWS MAY 15, 2025
Powell hints at Fed scrapping its 2020 framework revamp

Past changes to the Federal Reserve's longer-run strategy, including letting inflation run hotter than 2% for "some time," might no longer work for the current economy.

By Bloomberg
AI wrap: Carson deploys in-house chatbot, Tifin launches AI agent platform
FINTECH MAY 15, 2025
AI wrap: Carson deploys in-house chatbot, Tifin launches AI agent platform

Meanwhile, AdvisorEngine has announced new partnerships for AI notetaking, client data access, and streamlined workflows.

By Leo Almazora