Industry

A law firm’s analysis of what the self regulator is doing to rein in bad brokerages and advisors marshalls data not easily found.

Check out the advisor moves, M&A and other news of the week in wealth management.

A judge’s decision puts new pressure on the brokerage industry watchdog and the SEC.

Fintech deals totaled $348.5 billion in 2021. Here are the trends causing the record transaction wave.

Heather von Zuben is one of a small number of Latina executives on Wall Street.

The sale of the robo advisor represents a $1.6 billion dollar vote of confidence for all financial advisors, says Riskalyze CEO Aaron Klein.

The CEO and board member Dani Fava stepped down from a startup that has helped more planners gain familiarity with digital assets.

Susan McKenna, the financial planning software’s head of marketing and business development, has been named interim CEO.

Across the country, banks of all sizes are investing in the wealth business as a way to deepen customer relationships, capture recurring revenues and tap into a massive transfer of wealth from baby boomers to Generation X and millennials. A lot of money is up for grabs, but maybe not enough to go around.

Take a look at the news of the last week in the world of wealth management.