Industry

The RIA industry recorded the highest monthly volume on record for M&A deals, which DeVoe & Company attributed to firms’ anticipation of interest rate cuts.

Whether Kamala Harris or Donald Trump becomes President in January, their nominees for regulatory positions at the Labor Department and Securities and Exchange Commission will depend on electoral results for the Senate.

The commission settled charges that Wahed Invest violated the ad rule when including a pro soccer player and MMA athletes in marketing without clarifying that they weren’t clients and were compensated.

Cinda Collins alleged her former employer discriminated against her by terminating her after 30+ years because she was nearing retirement.

In one case, the firm agreed to pay $45 million to settle charges that it didn’t disclose financial conflicts regarding a portfolio management program to clients.

F2 Strategy's co-founder and CEO provides his take on the most important wealth management technology news of the last month.

The deal with Family Asset Management expands Sequoia’s Southeast footprint and represents its seventh acquisition since 2023.