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Recent IPO wave has advisors talking tech, venture capital with clients
IPOs like Instacart, Klaviyo and Arm Holdings may be struggling to sustain their post-debut gains, but they're still sparking conversations between advisors and clients.
Jury’s out as market rejects mega RIAs
IPOs may still be a road to riches for giant aggregators, but critics say hurdles remain.
CI equity sale seen as endorsement of higher wealth management valuations
The sale of the 20% equity stake values the US wealth unit, CI Private Wealth, at $5.3 billion, and it postpones the planned IPO.
Dynasty Financial Partners signals IPO is still the plan
An updated filing with the SEC appears to squash reports that Dynasty is shelving its plans to go public.
CI Financial will file to take US business public
The US IPO will give the Canadian financial conglomerate another method to pay for its purchases of registered investment advisers, says CEO Kurt MacAlpine.
Dynasty Financial IPO raises questions about future of platform
While private equity investors have an unquenchable thirst for wealth management, the public markets haven't always been kind to wealth management companies.
Acorns and Pioneer cancel $2.2 billion SPAC deal
Acorns plans to pursue traditional public offering.
SEC blocks Chinese IPO filings until risks are better disclosed
Gensler says he's asked agency staff to seek additional disclosures from Chinese firms before signing off on their registration statements to sell shares.
Fintech Stash weighs options for going public
The robo-adviser raised $125 million in a February funding round, for a $1.4 billion valuation.
Robinhood plans to reveal IPO filing as soon as next week
The filing will give potential investors their first comprehensive look at Robinhood's financials and the risks associated with the stock.
SEC charges barred broker in IPO scam
Peter Quartararo told clients he’d buy ‘pre-IPO’ shares in prominent private companies including Peloton and Airbnb.
SEC to Wall Street: SPACs aren’t a way around securities laws
Claims that promoters face less legal liability than a traditional public offering are “uncertain at best,” a top SEC official said in a statement.
SoFi, Robinhood plan early IPO access for retail
Social Finance said it will give investors with more than $3,000 in their accounts the ability to invest in initial public offerings.
Robinhood says it filed confidentially for IPO
The online trading platform could go public as soon as late in the second quarter, a source said.
Booming SPAC market draws SEC scrutiny
The vehicles are touted for democratizing markets by allowing retail investors access to high-growth companies. But the SEC said they come with distinct risks.
SPAC frenzy takes on wealthtech
SPAC deals are dominating the market as a convenient shortcut that allows fintechs to go public without the hassles involved in pursuing an initial public offering.
Two top B-D executives behind SPACs to buy RIAs and fintechs
Mark Casady and Larry Roth are longtime leaders in the independent broker-dealer industry
First blank-check ETF debuts
The new fund gives investors a chance to participate in one of the hottest areas of the stock market
One year since AssetMark’s IPO: A look at the TAMP’s growth
As the TAMP celebrates its IPO anniversary, CEO Charles Goldman reflects on challenges the company faced, the state of the market and future growth areas
Beware the IPO juggernaut
Initial public offerings are hot, but hot items can be too hot to handle and burn the unwary.
