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The proposal is part of what SEC Chairman Paul Atkins calls his "Make IPOs Great Again" agenda.

The policy was one of the signature efforts of Gary Gensler's leadership of the SEC, requiring companies to report material risks to their business due to a changing climate.

Wells' latest advisor recruiting coup comes just days after it pulled over a 19-person team formerly managing nearly $6 billion at Morgan Stanley.

Jazz Wealth, whose name honors eccentric musicians who've mastered a difficult art form, specializes in reaching out to "misfit" clients with YouTube videos and events like wine socials.

CEO Robin Vince defended the custody bank's use of artificial intelligence Monday, saying that the deployment of AI allows firms to increase their investment capacity.

The Taylor Group of Wells Fargo Advisors is led by nine advisors, all of them relatively young and many of them siblings.

As judges have shown in other recent cases involving UBS and Stifel, firms have a high bar to clear if they want an arbitration award vacated.

In an unusual development, LPL saw its advisor total decline slightly in the first quarter. And client assets brought in through advisor recruiting were down 55% year over year.

The new money will be used primarily to pay off investors who provided capital when Reverence first bought a majority stake in the former Advisor Group in 2019.

The influential planning entrepreneur and the FPA are leading an effort to change a tiered fee structure for continuing education providers that started three years ago.

The Trump administration's push for alternative investments in 401(k)s steamrolls ERISA law, argues Knut Rostad.

Schwab services 16,000 RIAs with 2,000 different fee structures. According to the industry's largest custodian, the exact costs come down to "a very personalized negotiation" with the firms.

After experiencing $14 billion in assets outflows in the last quarter of 2025, UBS brought in more than $5 billion in the first quarter of this year.

The newly formed Cetera Planning Partners is part of the firm's plan to broaden its channel for advisors working as direct employees.

A federal judge finds that the embattled brokerage Alpine Securities' argument that FINRA should answer to the federal executive branch amounts to " wishful thinking" that "collapses under the weight of spiraling aspiration."

The firms' collaboration shines a light on how the wealth management business works today and how it is evolving, as advisors weigh independence against the risks of "poking the bear" when they leave.

Court decisions vacated the Biden administration's DOL rule — but that didn't make rollover rules easy, experts say. Firms that get compliance right will have an edge in tapping a trillion-dollar-plus market.

A California man's complaint alleges that Morgan Stanley's website enabled tracking tech from Google and Microsoft to collect web visitors' browsing data for targeted online ads.

Schwab limits the proportion of assets that its advisory partners can hold in risky long-short SMAs to 30% of the total.

In a Q1 earnings call, CEO Jim Cracchiolo emphasized the firm's recruiting approach that seeks a "built, not bought" advisor workforce.