RIAs

The platform allows advisors to tailor portfolios that have characteristics including state-specific credits, ESG considerations, duration targets and other criteria.

The firm “has barely scratched the surface” of selling its technology to independent financial advisors and brokers.

The advisors felt “some familiarity and also some loyalty” after spending decades affiliated with the wealth manager’s independent brokerage.

The incident began when James Iannazzo ordered a drink without peanut butter for his son, who has a peanut allergy, according to a statement by police.

A dozen years after CEO Shirl Penney launched the RIA platform and TAMP, it seeks capital to supercharge its rapid growth.

The paper from University of Oregon researchers posits a tension between profit motives and ethical business practices.

DeVoe’s lookback at 2021 reveals trends and surprises.

A veteran of three decades of fee-only planning is merging into one of the largest firms as it expands in the Cincinnati market.

A committee says summaries provided by firms are full of jargon and readability issues. But fiduciary and plain-language experts say Form CRS itself needs an overhaul.

Private Advisor Group received capital from Merchant, while Integrated Partners has recruited nearly a dozen practices this year.