RIAs

The self-clearing custodian has unified its broker-dealer and RIA segments under one division at the company.

Private equity-backed Wealth Enhancement Group unveiled its third largest deal ever and its first location on the West Coast.

Most young and mass market clients still turn to traditional firms, but a shift toward app-based accounts is under way, according to Broadridge data.

Despite a competitive fight among wealth managers for advisors, clients and industry AUM rankings, most practices are very small businesses — and some advisors want them to stay that way.

Advisor Group, Raymond James, LPL, New York Life, Stone Point Capital, and other news and moves of the week in the financial advice world.

The White House’s sweeping proposal to raise taxes on the wealthy will likely force advisors to get creative as they structure sales of their practices.

It’s time to revisit your firm’s protocols to ensure they make sense given widespread tech adoption during the pandemic, writes Wes Stillman.

The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.

The RIA roll-up could make as many as a dozen deals in 2021 through the new source of capital, CEO Marty Bicknell says.

In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.