It's Time for a Reg BI Crackdown at SEC: Ex-Commissioner
By Melanie WaddellThe rule is falling short of its goal and Form CRS is "bad," former SEC Commissioner Robert Jackson says.
July 23, 2024
Are You the First Person Your Clients Call?Be the go-to professional in your client's life, advises Anand Sekhar of Fidelity Institutional.
July 23, 2024
Genstar Capital Acquires Majority Stake in DocupaceFTV Capita, which invested in the back-office software maker in 2020, will remain a minority investor.
July 22, 2024
Wirehouse Veteran Sees Risk to Clients in RIA 'Behemoths'Mega-RIAs could lose what makes them different from wirehouses, Segment Wealth CEO Gil Baumgarten says.
July 19, 2024
Mega-RIAs Will Grow to Rival Wirehouses in Next Decade: Mariner's BicknellAdding services to meet clients' needs is crucial to that growth, Mariner Wealth Advisors' CEO says.
July 19, 2024
10 Things Top RIAs Did to Succeed in 2023: SchwabThese firms are more likely than their competitors to use a variety of growth tactics, a new study finds.
July 19, 2024
Focus Financial to Merge Atlanta-Based Wealth Shop With Colony GroupThis and other recent deals have pushed The Colony Group's assets to about $110 billion.
July 19, 2024
SEC Launches Sweep of RIAs' T+1 ComplianceRIAs have received letters asking for details on procedures for trade affirmation and recordkeeping, K&L Gates attorneys say.