Industry

The deal to buy Wealthstreet Investment Advisors marks half a dozen since the RIA roll-up received a PE investment last year.

The update is a step forward to being more inclusive of individuals who don’t identify as male or female.

There are lots of reasons to fret about debt — and more reasons not to, writes Matthew A. Winkler.

What's going on at LPL, Captrust, Avantax, Pershing, Citigroup, Edelman Financial Engines, and other quick takes from around the industry.

The police, FBI, SEC and IRS, among other agencies, have been trying to track ex-advisor Chris Burns for months, to no avail.

After the Schwab-TD merger, rival firms are re-thinking the settlement process, testing new pricing models, and improving advisor efficiency and service. Is David sprinting past Goliath?

One former rep is responsible for more than 80% of the firm’s sales of the defunct LJM Preservation & Growth Fund.

Four months after shutting down, the fintech and some of its employees are joining SEI.

The change will affect continuing education immediately and certification examinations starting in March 2022.

It’s yet another revenue stream that may face pressure after the custodian spawned a race to zero commissions more than a year ago.