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Regulation & Compliance

Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights

New York-based advisor Francis Smith wants a temporary restraining order to stop FINRA from alleging requiring on-the-record testimony without the protection of the Fifth Amendment.

byPatrick Donachie, Senior Reporter

Feb 18, 2025

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1 Min Read

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

Feb 14, 2025

1 Min Read

Department of Labor sign DOL fiduciary rule

Regulation & Compliance

DOL Puts Fiduciary Rule on Hold DOL Puts Fiduciary Rule on Hold

byDiana Britton

Feb 14, 2025

1 Min Read

Marwa Zakharia AssetBook

Support Platforms

AssetBook CEO Marwa Zakharia Steps Down AssetBook CEO Marwa Zakharia Steps Down

byDiana Britton

Feb 14, 2025

1 Min Read

Investing Strategies

David Canter Joins Green Investment Company David Canter Joins Green Investment Company

byDiana Britton

Feb 14, 2025

1 Min Read

team building concept abstract illustration with geometric shapes

The Right Way to Build a Team The Right Way to Build a Team

byJason Diamond

Feb 14, 2025

1 Min Read

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

globe data stock market

The Data Demands for Cross-Border Wealth Management Innovations

The Data Demands for Cross-Border Wealth Management Innovations

byAshley Longabaugh , Principal Analyst, Celent

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

iphone imessage text messaging

Client Relations

Left on Read: The Cost of Ignoring iMessage Compliance

The Cost of Ignoring iMessage Compliance

byHarriet Christie, Harriet Christie, Chief Operating Officer, MirrorWeb

businessman adding piece to pie chart 401(k)s

Yes, Advisors Can Manage Their Clients’ 401(k) Accounts

Yes, Advisors Can Manage Their Clients’ 401(k) Accounts

byBrenden Gebben, CEO, Absolute Capital Management

Diamond Podcast for Financial Advisors Sweet Financial Partners Brian Sweet Louis Diamond

Professional Development

The Diamond Podcast for Financial Advisors: The Lifecycle of a Billion Dollar Business

The Diamond Podcast: The Lifecycle of Sweet Financial Partners

byLouis Diamond, President

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

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

401k real talk

401k Real Talk Episode 139: February 12, 2025

401k Real Talk Episode 139: February 12, 2025

byFred Barstein, The Retirement Adviser University,

Peter Nesvold SignatureFD

SignatureFD Adds M&A Vet Peter Nesvold to Board

SignatureFD Adds M&A Vet Nesvold to Board

byAlex Ortolani, Senior Reporter

Larry Restieri and Bob Oros Hightower

Hightower CEO Bob Oros To Step Down

Hightower CEO Bob Oros To Step Down

byPatrick Donachie, Senior Reporter

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, Managing Editor

Chris Lex Carmen Lex

Brothers Launch New RIA with LPL; Bluespring Adds Independent RIA

LPL, Bluespring Make RIA Additions

byAlex Ortolani, Senior Reporter

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