With the Trump administration pledging to review recently passed federal rules, the Investment Adviser Association wants to submit new comments on an anti-money-laundering law for RIAs.
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Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves this week.
March 14
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Mike Capelle, co-founder and CEO of Modern Wealth Management in Monterey, California, is in charge of the tech stack at the $6.1 billion AUM firm.
March 13
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SmartAsset analyzed the significance of the state-by-state figures on certificants, although some experts say geographic strategies are missing the bigger picture.
March 13
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Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.
March 13
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Josh Brown, CEO of Ritholtz Wealth Management, invests in the fintech firm and joins its advisory board to help steer the product roadmap.
March 13
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
Across the last five years of Financial Planning's 40 under 40 list, a few key insights have emerged about where the industry is at — and where it's headed.
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Many see AI as augmenting, not replacing, the work of financial advisors, but experts still have plenty of concerns, from compliance to cybersecurity and more.
March 19
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Morgan Stanley's cuts add to a series of workforce reductions across Wall Street as bosses navigate an uncertain economic outlook.
March 19
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New rules will tighten identity verification for benefits, limiting phone claims to fight fraud, the Social Security Administration announced.
March 19
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The public has until May 13 to comment on a proposal that would prevent brokers from having to list side hustles like online antiques stores or after-hours bartending gigs.
March 18
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Founder Steven Fox is asking for a flat $18,000 per year from planners to act as their RIA and platform provider to drive changes to fee models across the industry.
March 18
