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Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

Also this week, Hightower invests in a large RIA and Bernstein names a new head of wealth management.

LPL Financial is well known to advisors but not necessarily to their clients. A new ad campaign airing this weekend during PGA Championship coverage aims to change that.

By agreeing to share taxpayer data at all, the Internal Revenue Service is taking an unprecedented step that breaks with longstanding assurances.

Despite the notable flows and valuations, some sellers get locked into an ill-fitting parent firm without many options for getting away.

Yakir Golan is the CEO and co-founder of Kovrr. He started his career in the Israeli intelligence forces. Following his military service, he acquired multidisciplinary experience in software and hardware design, development and product management. For the past few years, he has focused on bringing cyber risk management solutions based on advanced machine learning and artificial intelligence to the market. Yakir holds a BSc in Electrical Engineering from the Technion, Israel Institute of Technology and an MBA from IE Business School, Madrid, Spain.

A new study explored the benefits of adding timepieces to portfolios of stocks, bonds and gold.

Julienne Y. Joseph is the founder and principal of JYJ Consulting, and is the former Chief of Staff to HUD Secretary Marcia L. Fudge. She previously served as Deputy Assistant Secretary for Single Family Housing.

Louise Doyle is the visionary co-founder and CEO of needi, a corporate gifting service that uses AI-powered gift-matching technology to connect businesses with the perfect sustainable gifts while supporting local independent businesses. 

Alongside co-founder Steph Scholes, needi has grown to work with over 150 B2B clients, including high-profile companies like Microsoft, Spotify, and Virgin, generating over £1 million in sales for small businesses.

The dilemmas from data, client demand and recruiting could provide opportunities for upstarts. Here's how wealth and asset management firms are responding.