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Robinhood app crypto SEC

Regulation & Compliance

Robinhood Says SEC Closes Crypto Probe Without Enforcement Robinhood Says SEC Closes Crypto Probe Without Enforcement

Robinhood is the latest company to announce the SEC has retreated from a crypto enforcement action or lawsuit as the agency shifts to new leadership and takes a friendlier approach to the market.

Feb 24, 2025

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2 Min Read

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

Feb 24, 2025

2 Min Read

U.S. Capitol Congress

Corporate Transparency Act Back in Effect Corporate Transparency Act Back in Effect

bySamuel F. Toth, Peter W. Van Euwen III

Feb 24, 2025

1 Min Read

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

Great Gray Acquires RPAG Great Gray Acquires RPAG

byFred Barstein

Feb 24, 2025

3 Min Read

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

Feb 21, 2025

4 Min Read

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

Feb 21, 2025

4 Min Read

Wall Street walking

Wall Street Is Selling ETFs That Mimic the Private Equity Boom

Wall Street Is Selling ETFs That Mimic the Private Equity Boom

byVildana Hajric

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

apex clearing

Alternative Investments

Apex to Unveil Alts Functionality

Apex to Unveil Alts Functionality

byDavid Bodamer, Executive Editor, Inestments

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, Executive Editor, Inestments

LPL signage

Alternative Investments

LPL Launches Alts Platform

LPL Launches Alts Platform

byDavid Bodamer, Executive Editor, Inestments

Fidelity Adds ETF Model Portfolios Aimed at Wealth Segment

Fidelity Adds New ETF Model Portfolios

byDavid Bodamer, Executive Editor, Inestments

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, 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, 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, Inestments

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, 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, Inestments

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, 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, Managing Editor

Marwa Zakharia AssetBook

Support Platforms

AssetBook CEO Marwa Zakharia Steps Down

AssetBook CEO Marwa Zakharia Steps Down

byDiana Britton, Managing Editor

David Canter

Investing Strategies

David Canter Joins Green Investment Company

David Canter Joins Green Investment Company

byDiana Britton, 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, Inestments