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Wealth Enhancement Group

Industry News & Trends

Former Employee Claims Wealth Enhancement Discriminated Against Her During Pregnancy Former Employee Claims WEG Discriminated Against Her During Pregnancy

Amy Fox joined the firm in 2022 as a transition support client specialist. However, according to the lawsuit, she was treated “less favorably” after she became pregnant in 2023.

byPatrick Donachie, Senior Reporter

Feb 26, 2025

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1 Min Read

Sarver Vrooman Wealth Advisors

$430M Team Launches Own RIA With Wells Fargo’s First Clearing $430M Team Launches Own RIA With Wells Fargo’s First Clearing

byDiana Britton

Feb 26, 2025

1 Min Read

Ameriprise Financial

Industry News & Trends

Judge Denies Ameriprise’s Restraining Order Against LPL, Former Employees Judge Denies Ameriprise’s Restraining Order Against LPL, Former Employees

byPatrick Donachie

Feb 26, 2025

1 Min Read

Industry News & Trends

Ellevest Sells Robo Advice Business to Betterment Ellevest Sells Robo Advice Business to Betterment

byDiana Britton

Feb 26, 2025

1 Min Read

401k real talk February 26, 2025

401(k) Real Talk Episode 141: February 26, 2025 401(k) Real Talk Episode 141: February 26, 2025

byFred Barstein

Feb 26, 2025

RIA Recruiter, Dealmaker Kreuter Rolls Up Divisions Into Gladstone Group RIA M&A and Recruiting Shops Rolled Up Into Gladstone Group

byAlex Ortolani

Feb 26, 2025

1 Min Read

Savvy Wealth CTO Eric Hurkman

Savvy Wealth Creates CTO Position to Build Out Product, Engineering Teams

Savvy Adds CTO Role To Leadership Team

U.S. Supreme Court

Regulation & Compliance

Alpine Urges Supreme Court To Hear Case Against FINRA

Alpine Urges Supreme Court To Hear Case Against FINRA

byPatrick Donachie, Senior Reporter

Merchant co-founder and Managing Partner Tim Bello (left) and Venning CEO Rishi Gautam

Merchant Invests in CPA to Offer Tax, Accounting Services to RIA Network

Merchant Takes Minority Stake in Massachusetts CPA

byAlex Ortolani, Senior Reporter

Bogart Wealth President Jeffrey Fuhrman

Bogart Wealth Taps New President From Focus Partner Firm

Bogart Wealth Hires President From Focus Partner Firm

byAlex Ortolani, Senior Reporter

man and woman building blocks money

Your Custodian Doesn’t Owe You Anything

Your Custodian Doesn’t Owe You Anything

byMatt Sonnen, COO

composition wealth

$7.7B Miracle Mile Rebrands as Composition Wealth

$7.7B Miracle Mile Rebrands as Composition Wealth

byDiana Britton, Managing Editor

Michael J. Ryan and Wesley T. Hoppe Triton Wealth Elevation Point

Elevation Point Stakes $225M Minnesota RIA

Elevation Point Stakes $225M Minnesota RIA

byDiana Britton, Managing Editor

Donald Trump and Elon Musk the Oval Office Social Security

The Truth About Social Security and Dead People

The Truth About Social Security and Dead People

Robinhood app crypto SEC

Regulation & Compliance

Robinhood Says SEC Closes Crypto Probe Without Enforcement

Robinhood Says SEC Closes Crypto Probe Without Enforcement

John Sidery Uptick Olympus Wealth Strategies

New RIA Platform Entrant Uptick Adds Second RIA to Network

Uptick Adds Second Advisor to New RIA Network

byAlex Ortolani, Senior Reporter

U.S. Capitol Congress

Corporate Transparency Act Back in Effect

Corporate Transparency Act Back in Effect

bySamuel F. Toth, Peter W. Van Euwen III

Wealth Management Invest Podcast Robert Picard Hightower alternative investments

Alternative Investments

Wealth Management Invest: Unpacking Hightower’s Approach to Private Markets with Robert Picard

Wealth Management Invest: Hightower’s Approach to Private Markets

byDavid Bodamer, Executive Editor, Investments

RPA co-founder and CEO Vince Giovinazzo and President Nick della Vedova

Great Gray Acquires RPAG

Great Gray Acquires RPAG

byFred Barstein, The Retirement Adviser University,

SEC building

Regulation & Compliance

Former SEC Crypto Policy Advisor Worries Commission’s Approach Will Harm Investors

Former SEC Crypto Advisor Worries Commission’s Approach Will Harm Investors

byPatrick Donachie, Senior Reporter

Department of Justice seal

Regulation & Compliance

Advisor Charged with Trying to Fabricate Evidence, Threaten Witnesses

Advisor Charged with Trying to Fabricate Evidence, Threaten Witnesses

byPatrick Donachie, Senior Reporter

coinbase SEC lawsuit

Regulation & Compliance

Coinbase Says SEC Is Close to Dismissing Enforcement Case

Coinbase Says SEC Is Close to Dismissing Enforcement Case

byOlga Kharif, Sonali Basak

SEC building 2021 cybersecurity fraud cryptocurencies SEC

Regulation & Compliance

SEC Replaces Crypto Enforcement Team with Smaller ‘Cyber’ Unit

SEC Replaces Crypto Enforcement Team with Smaller ‘Cyber’ Unit

byNicola M. White

James Arthur McDonald FBI guilty plea

Regulation & Compliance

Advisor, CNBC Analyst Pleads Guilty to Conning Clients

Advisor, CNBC Analyst Pleads Guilty to Conning Clients

byPatrick Donachie, Senior Reporter

Dynasty Financial Partners CEO Shirl Penney

Dynasty Snags $900M Chicago Team, Including CIBC Alums

Dynasty Snags $900M Chicago Team, Including CIBC Alums

byPatrick Donachie, Senior Reporter

401k real talk Feb 20, 2025

401(k) Real Talk Episode 140: February 20, 2024

401(k) Real Talk Episode 140: February 20, 2024

byFred Barstein, The Retirement Adviser University,

LPL signage

Alternative Investments

LPL Launches Alts Platform

LPL Launches Alts Platform

byDavid Bodamer, Executive Editor, Investments

Prill Garwood team

$900M Kansas Trio Joins LPL from Raymond James

$900M Kansas Trio Joins LPL from Raymond James

byPatrick Donachie, Senior Reporter

Edelman Accuses Prime Capital of Helping Advisors Take Client Info

Edelman Accuses Prime Capital of Helping Advisors Take Client Info

byPatrick Donachie, Senior Reporter

diversity

The Case for Diversity at Work and in the Financial Services Industry

The Case for Diversity at Work and in the Financial Services Industry

byFred Barstein, The Retirement Adviser University,

Joe Duran

Joe Duran’s Rise Growth Makes Second Investment in $5.7B Grimes & Company

Rise Growth Makes Second Investment in $5.7B Grimes & Company

byDiana Britton, Managing Editor

LPL Sign

Industry News & Trends

LPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest Suit

LPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest Suit

byPatrick Donachie, Senior Reporter

FINRA HQ

Regulation & Compliance

Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights

Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights

byPatrick Donachie, Senior Reporter

independent crew

$1.6B RIA and Trust Company to Split from Bank Parent

$1.6B RIA and Trust Company to Split from Bank Parent

byAlex Ortolani, Senior Reporter

Department of Labor sign DOL fiduciary rule

Regulation & Compliance

DOL Puts Fiduciary Rule on Hold

DOL Puts Fiduciary Rule on Hold

byDiana Britton, Managing Editor