Staff report

Tens of billions of dollars in taxable assets on Raymond James' managed account platform will get upgraded tools by mid-2024, the firms say.

All eyes will be on the incoming veteran executive as the banking giant seeks to take advantage of expected growth in global wealth.

The Investment advisory firm now overseeing more than $300 million in outside assets has Pontera to deliver comprehensive 401(k) management to its advisor network.

New research from Edward Jones suggests that emerging adults value comfort over money and aren't letting the lean times bring them down.

Inflated charitable deduction claims have led to dozens of audits and millions of dollars in additional payments to the agency.

Surge Ventures has announced the launch of RegVerse, a platform focused on advancing regulatory technology by leveraging artificial intelligence to handle the compliance needs of RIAs and BDs.

The new offering will be only open to accredited investors and qualified clients.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

The team, led by three experienced industry players, will work out of the Philadelphia office the Swiss banking giant opened in August.

The Overland Park, Kansas firm's latest acquisition comes right off its deal to buy Goldman Sachs' Personal Financial Management unit this quarter.

The bank team was seeking a place to support its growth in providing boutique 'concierge' services, while maintaining autonomy.

Financial Planning's staff has compiled 84 songs that we believe speak to the souls of advisors.

It's the latest instance of a wealth management group leaving the Swiss banking giant.

The new guidance from the agency lays out the complicated rules for qualifying for up to $5,000 in subsidies per residence under the Inflation Reduction Act.

The proposal comes amid the broker-dealer regulator's push for a pilot program to test out branch reviews done at a distance rather than in person.

The appointment comes amid the organization's push for 'title protection' for financial planners.

Regulators accused the investment technology firm of not disclosing fees that ate into clients' interest payments.

The insurer-backed firm secured its third M&A agreement of the year and fifth in its history for a firm with at least $1 billion in client assets.

Matthew Motil stands accused of raising more than $11 million by misleading investors about mortgage-backed promissory notes.

Called SMArtY, the firm's free offering is slated to go live in just days with a waitlist available now.