RIAs

The new additions oversaw more than $275 million at their former employers.

The regulator charged a $1.4 billion hybrid firm over disclosure of its cash sweep arrangements with its clearing firm.

If the court ends up making this choice, intended family members may lose out — all for want of filling out a one-page form.

The latest roundup of news in the IBD and RIA channels comes in a time of economic turmoil and big transactions.

The aggregator thinks it’s found a sweet spot sharing revenues with firms it acquires, says CEO Bob Oros.

During Andy Kalbaugh’s tenure with the No. 1 IBD, its headcount grew by more than 50% to nearly 17,000 reps.

As consolidation reshapes the market, the custodian sees an opportunity to attract tech-forward and multi-custodial firms.

Do RIAs still have a clear advantage when it comes to modern planning software?

“I wanted to be able to walk in the door and only be able to answer to one constituency: my clients,” advisor Andy Ferguson says.