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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

The new group will consist of about 30 fraud specialists and attorneys across multiple SEC offices.

byNicola M. White

Feb 20, 2025

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1 Min Read

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

Feb 20, 2025

2 Min Read

Dynasty Financial Partners CEO Shirl Penney

Dynasty Snags $900M Chicago Team, Including CIBC Alums Dynasty Snags $900M Chicago Team, Including CIBC Alums

byPatrick Donachie

Feb 20, 2025

2 Min Read

Alternative Investments

Apex to Unveil Alts Functionality Apex to Unveil Alts Functionality

byDavid Bodamer

Feb 20, 2025

3 Min Read

Apollo Global Management alts Investcloud

Alternative Investments

Apollo Signs Onto InvestCloud’s Private Markets Account Network Apollo Joins InvestCloud’s Private Markets Account Network

byDavid Bodamer

Feb 20, 2025

2 Min Read

Alternative Investments

LPL Launches Alts Platform LPL Launches Alts Platform

byDavid Bodamer

Feb 20, 2025

3 Min Read

Fidelity Adds ETF Model Portfolios Aimed at Wealth Segment

Fidelity Adds New ETF Model Portfolios

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

addepar sign

Addepar Rolls Out New Alternatives Management Features

Addepar Rolls Out New Alternatives Management Features

byDavis Janowski, Senior Technology Editor, WealthManagement.com

CircleBlack President and CEO Lincoln Ross

Support Platforms

CircleBlack to Acquire AssetBook

Sources: CircleBlack to Acquire AssetBook

byDiana Britton, Moderator, Managing Editor

heart keyboard

DAFgiving360 Reports Record Grant Making in 2024

DAFgiving360 Reports Record Grant Making in 2024

byAnna Sulkin Stern - Moderator, Legal Editor

Melissa Karetny Cresset

Professional Development

Cresset Snags Chief People Officer From JPMorgan

Cresset Snags Chief People Officer From JPMorgan

byDiana Britton, Moderator, Managing Editor

cais office door

Alternative Investments

CAIS Integrates with Other TAMPs, Managed Account Platforms

CAIS Launches Alts Access and Portfolio Integrations on Third-Party TAMPs

byDavid Bodamer, Executive Editor, Investments

Edelman Accuses Prime Capital of Helping Advisors Take Client Info

Edelman Accuses Prime Capital of Helping Advisors Take Client Info

byPatrick Donachie, Senior Reporter

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, Moderator, 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

funds graph

Alternative Investments

Third Wire Launches Novel Private Markets 506(c) Fund

Third Wire Launches Novel Private Markets 506(c) Fund

byDavid Bodamer, Executive Editor, Investments

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

Creative Planning HQ

Creative Planning Picks Up $290M California RIA

Creative Planning Picks Up $290M California RIA

byDiana Britton, Moderator, Managing Editor

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, Moderator, Managing Editor

Marwa Zakharia AssetBook

Support Platforms

AssetBook CEO Marwa Zakharia Steps Down

AssetBook CEO Marwa Zakharia Steps Down

byDiana Britton, Moderator, Managing Editor

David Canter

Investing Strategies

David Canter Joins Green Investment Company

David Canter Joins Green Investment Company

byDiana Britton, Moderator, Managing Editor

Morningstar sign

WealthStack Roundup: The End For Morningstar Office

WealthStack Roundup: The End For Morningstar Office

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Hightower office

Hightower CEO Change Could Signal Next Phase of RIA's Growth

Hightower CEO Change Signals Next Phase of Growth

byAlex Ortolani, Senior Reporter

Deals & Moves: LPL, Ameriprise Add Advisors Amid Mounting Legal Disputes

Deals & Moves: LPL, Ameriprise Add Advisors

byAlex Ortolani, Senior Reporter

stock market trader screens ETFs

Fidelity: Advisors Continue to Gravitate to Active ETFs

Fidelity: Advisors Continue to Gravitate to Active ETFs

byDavid Bodamer, Executive Editor, Investments

businessman with briefcase walking up steps advisor growth

Cerulli: Independent RIAs to Outpace All Other Channels by 2028

Cerulli: Independent RIAs to Grow 4% Through 2028

byAlex Ortolani, Senior Reporter

Satayan Mahajan, CEO, Datalign Advisory

Artificial Intelligence

Link Ventures Invests Another $5M In Prospecting Platform Datalign Advisory

Datalign Advisory Raises $5M More From Link Ventures

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Kabir Sethi

Artificial Intelligence

Kabir Sethi Joins Board Of AI Startup Zeplyn

Kabir Sethi Joins Board Of AI Startup Zeplyn

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Robinood app phone

Robinhood Revenue Doubles, Fueled by Surge in Crypto Trading

Robinhood Revenue Doubles, Fueled by Crypto Trading

CFPB office HQ

Regulation & Compliance

CFPB Disarray Puts Future Fintech, Bank Oversight Into Question

CFPB Disarray Puts Future Fintech, Bank Oversight Into Question

charles schwab branch

Charles Schwab Expands 24-Hour Trading to All Its Retail Clients

Schwab Expands 24-Hour Trading to All Retail Clients

byGeorgia Hall, Bloomberg

Peter Crawford CD&R

CD&R Hires Former Schwab CFO to Guide Wealth Portfolio

CD&R Taps Ex-Schwab CFO for Wealth Investments

byAlex Ortolani, Senior Reporter

estate plan file

Estate Planning

Pennsylvania Court Rules Beneficiaries Can’t Unilaterally Change Trust’s Situs

Pennsylvania Court Rules Beneficiaries Can’t Unilaterally Change Trust’s Situs

byDavid A. Handler, Alison E. Lothes