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Regulation & Compliance

CFPB Disarray Puts Future Fintech, Bank Oversight Into Question CFPB Disarray Puts Future Fintech, Bank Oversight Into Question

Americans hold more than $12.5 trillion in mortgage debt and $1.17 trillion in credit card balances as of the end of September – oversight of which is now uncertain.

Feb 12, 2025

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1 Min Read

401k Real Talk Episode 139: February 12, 2025 401k Real Talk Episode 139: February 12, 2025

byFred Barstein

Feb 12, 2025

Peter Nesvold SignatureFD

SignatureFD Adds M&A Vet Peter Nesvold to Board SignatureFD Adds M&A Vet Nesvold to Board

byAlex Ortolani

Feb 12, 2025

1 Min Read

Larry Restieri and Bob Oros Hightower

Hightower CEO Bob Oros To Step Down Hightower CEO Bob Oros To Step Down

byPatrick Donachie

Feb 11, 2025

1 Min Read

empty office chairs

Industry News & Trends

McKinsey Estimates Advisor Shortage of 100,000 by 2034 McKinsey Estimates Advisor Shortage of 100,000 by 2034

byDiana Britton

Feb 11, 2025

1 Min Read

Chris Lex Carmen Lex

Brothers Launch New RIA with LPL; Bluespring Adds Independent RIA LPL, Bluespring Make RIA Additions

byAlex Ortolani

Feb 11, 2025

1 Min Read

Acting SEC Chair Mark Uyeda

Regulation & Compliance

Acting SEC Chairman Pauses Legal Defense of Climate Rule

Acting SEC Chairman Pauses Legal Defense of Climate Rule

byPatrick Donachie, Senior Reporter

dollars graph Private equity RIAs

Fidelity: PE Fueled Record 89% of RIA Deals in 2024

Fidelity: PE Fuels Record 89% of RIA Deals

byAlex Ortolani, Senior Reporter

Peakline Partners Bill Rudnick, executive managing director

Alternative Investments

Private Markets Investments Firm Cresset Partners Rebrands as Peakline Partners

Cresset Partners Investment Firm Rebrands as Peakline Partners

byAlex Ortolani, Senior Reporter

Kathy Wunderi Wealth.com

Top Hollywood Attorney Joins Wealth.com’s Legal Team

Top Hollywood Attorney Joins Wealth.com’s Legal Team

byPatrick Donachie, Senior Reporter

Robert Sofia Snappy Kraken

Snappy Kraken Launches AI-backed RIA Enterprise Hub

Snappy Kraken Launches AI-Backed Enterprise Hub

byAlex Ortolani, Senior Reporter

Hershey Wealth Advisors Merit Financial

Merit Acquires $233M Pennsylvania RIA From Osaic

Merit Acquires $233M RIA In Pennsylvania

byAlex Ortolani, Senior Reporter

U.S. Supreme Court building

Regulation & Compliance

Broker Uses Recent Supreme Court Decisions In Case Against FINRA

Broker Uses Recent Supreme Court Decisions In Case Against FINRA

byPatrick Donachie, Senior Reporter

Sugarloaf Wealth Management Principal Jason Connolly Prime Capital Financial

Prime Capital Gains Foothold in Atlanta with $1B RIA

Prime Capital Adds 1B Atlanta RIA

byAlex Ortolani, Senior Reporter

WealthManagement.com website Informa SCM

Industry News & Trends

Editor’s Note: A Website Refresh

Editor’s Note: A Website Refresh

byDavid Armstrong, Executive Director, Content and User Engagement at WealthManagement.com

courthouse steps

Forfeiture Lawsuits Set to Upend 401(k) Plans

Forfeiture Lawsuits Set to Upend 401(k) Plans

byFred Barstein, The Retirement Adviser University,

Kristen Larson Sanctuary Wealth breakaway UBS

$200M Advisor Leaves UBS to Go Independent with Sanctuary

Sanctuary Lands New $200M Minneapolis RIA

byAlex Ortolani, Senior Reporter

Dave Breslin General Catalyst GC Wealth

Q&A: Dave Breslin Ushers General Catalyst Into the Wealth Business

Dave Breslin Ushers General Catalyst Into the Wealth Business

byDiana Britton, Managing Editor

Mariner Wealth Advisors CEO Marty Bicknell

Mariner to Add 250 Senior Wealth Advisors in Major Recruiting Push

Mariner Recruiting for 250 Senior Wealth Advisors

byAlex Ortolani, Senior Reporter

401k retirement plans fingerprint

Support Platforms

WealthStack Roundup: Future Capital Partners With Axos

WealthStack Roundup: Future Capital Partners With Axos

Carnegie CEO and Principal Richard Alt

Carnegie Investment Counsel Adds $1.3B Firm To Expand In Northeast

Carnegie Investment Counsel Adds $1.3B Firm

byPatrick Donachie, Senior Reporter

Orion CEO Natalie Wolfsen 2025 Orion Ascent Conference

Support Platforms

Nuggets Mined From Orion's Inaugural Investor Survey

Nuggets From Orion's Inaugural Investor Survey

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Osaic signage

Osaic Adds $360M Firm to W-2 Affiliation Channel

Osaic Adds $360M Firm to W-2 Affiliation Channel

byDiana Britton, Managing Editor

Linda Bready

FinTech Exec Launches M&A Consulting Business

FinTech Exec Launches M&A Consulting Business

byDiana Britton, Managing Editor

Breanna Rae Blaney

Professional Development

DFA Alum Launches Advisor Training Program and Designation

DFA Alum Launches Advisor Training Program, Designation

byDiana Britton, Managing Editor

Empower CEO Ed Murphy

Empower’s Wealth Unit Grows Assets 29% on 401(k) Rollover Capture

Empower Wealth Unit Reports 29% Asset Growth

byAlex Ortolani, Senior Reporter

LPL CEO Rich Steinmeier

LPL’s New Leader Moves Past CEO Firing With Eye on Firm’s Growth

New LPL CEO Keeps Eye on Firm Growth

IAA President Matt Lampman

One-time Unpaid Intern Becomes President of $4.8B IAA

$4.8B IAA Promotes Former Intern to President

byAlex Ortolani, Senior Reporter

Alternative Investments

KKR Calls Credit’s ‘iPhone Moment’ as Public, Private Markets Meld

KKR Calls Credit’s ‘iPhone Moment’

byOlivia Raimonde

CFP Board CEO Kevin Keller

CFP Board CEO Kevin Keller To Retire

CFP Board CEO Kevin Keller To Retire

byPatrick Donachie, Senior Reporter

Corporate Plans Retirement Strategies team

Deals & Moves: Cetera, Corient and LPL’s RIA Channel Add Advisors

Deals & Moves: Cetera, Corient and LPL Add Advisors

byAlex Ortolani, Senior Reporter

Capstone Wealth Advisors Vice President Ryan Skogstad

Wealth Enhancement Acquires $619M RIA Serving Pacific Northwest

Wealth Enhancement Snags $619M Oregon-based RIA

First Republic bank doors

First Republic Ex-Private Wealth Head Taps Old Team for New Firm

First Republic Ex-Private Wealth Head Taps Old Team for New Firm

byBiz Carson, Reporter

Alisa Maute Mercer Advisors

Mercer Hires Client Development Director From LPL

Mercer Hires Client Development Director From LPL

byDiana Britton, Managing Editor

Osaic signage city

Industry News & Trends

Osaic Is Focus of Latest Cash Sweep Class Action Suit

Osaic Is Focus of Latest Cash Sweep Class Action Suit

byPatrick Donachie, Senior Reporter