Carlo di Florio, president of the industry compliance consulting firm ACA Group, said SEC Chair Nominee Paul Atkins’ approach ...

Capital’s Lawrence Calcano points to continued innovation in tech and product development as key to making alts more ...

In 2025, expect to see an emphasis on organic growth, talent and capturing AI efficiencies at RIA firms, said Schwab’s Lisa ...

It has been a busy year for ARQA, founded in 2022 by Haik Sahakyan and Peter DiLorenzo.

A Nevada probate commissioner has rejected Rupert Murdoch’s attempt to amend the terms of his irrevocable family trust.

2025 is set up to be an interesting year for financial markets. Equities have had a stellar 2-year run, Trump 2.0 commences, global central banks are cutting interest rates, and the U.S. economy ...

It’s critical for advisors, their firms, asset managers and other industry participants to balance establishing best practices with current clients while shifting service and product strategies ...

Mariner Wealth and its outspoken CEO and President Marty Bicknell have an established goal of growing to 5,000 advisors by 2027. The firm has been steadily working toward this through inorganic ...

RIA aggregator Focus Financial is continuing to consolidate partner firms; this time, the Dallas, Texas-based Brownlie & Braden Advisors is joining Focus partner firm Prairie Capital Management ...

FINRA is requiring Edward Jones, Osaic and Cambridge Investment Research to collectively pay more than $8.2 million in restitution to customers after the firms allegedly failed to monitor whether ...

While this isn’t 1765 with its Stamp Act, it sure feels like basis points are a tax levied on financial advisors without a commensurate increase in incremental value to justify the cost.