Organization Root Tag

Through collaboration with BlackRock, Fidelity Investments, Franklin Templeton and State Street, professionally managed model portfolios with alternative allocations are available via the firm's unified managed accounts.

Jamie Price of Osaic says attrition at his firm was below expectations during its recent internal consolidation of nine separate brokerages and that not having a self-clearing and self-custody business is an advantage these days.

George "Keith" Demetriades was accused of violating nonsolicitation clauses and misappropriating trade secrets after leaving for an RIA in 2023.

A group of tax organizations, including the NATP and NAEA, hopes to preserve the core tax functions relied on by tax professionals despite cutbacks at the IRS.

The deal marks the purchase of one private equity-owned firm by a much larger one with majority private equity backing.

Now at Wells Fargo, Matthew McCrea is accused of violating a nonsolicitation agreement he signed at JPMorgan. The suit echoes allegations JPMorgan made days earlier against a broker now at Morgan Stanley.

The industry watchdog is walking away from more than a dozen regulatory reforms that had drawn staunch opposition from advisors and industry groups.

In February, the organization released its "Generative AI Ethics Guide," which may be updated based on the group's findings.

An advisory panel has recommended changes that would bring arbitration rules for RIAs into line with those now governing FINRA proceedings for broker-dealers. The proposal still has to get through the SEC.

Net of expenses, many financial advisors and investors could find similar yields and exposure for their portfolios elsewhere, according to a Morningstar study.