RIAs

The combination of wealth management with supporting sectors attracted investors to two major deals.

The future of referrals won’t be driverless but it will be largely remote and fueled by pre-COVID fundamentals.

The IBD completed a stellar recruiting year by adding a team led by a 30-year veteran advisor.

The private equity-backed RIA agreed to purchase its first firm of the year after being one of the most active acquirers in 2020.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.

The bank allegedly made “hundreds of millions of dollars” by investing client assets in underperforming proprietary and affiliated funds without disclosing conflicts to clients.

“We look forward to our day in court and will not be bullied by the regulatory thugs at the SEC," the firm's co-founder says.

With an eye on pathways to fee-only practices and away from an “eat what you kill” philosophy, four planners aim to usher in a more diverse profession.

Despite pledges, the IBD network didn’t collect enough data for suitability reviews of the outside transaction for more than five years, according to the regulator.