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Department of Justice seal

Regulation & Compliance

Advisor Charged with Trying to Fabricate Evidence, Threaten Witnesses Advisor Charged with Trying to Fabricate Evidence, Threaten Witnesses

According to the Department of Justice, Adam Kaplan told an unnamed associate to threaten to harm witnesses in an ongoing fraud investigation against him and his brother.

byPatrick Donachie, Senior Reporter

Feb 21, 2025

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1 Min Read

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

Feb 21, 2025

1 Min Read

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

Feb 20, 2025

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

1 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

1 Min Read

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

Feb 20, 2025

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, 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

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, 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

team building concept abstract illustration with geometric shapes

The Right Way to Build a Team

The Right Way to Build a Team

byJason Diamond, Vice President, Senior Consultant, Diamond Consultants

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

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The Ultimate 2025 Breakaway Guide

The Ultimate 2025 Breakaway Guide

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, Diamond Consultants

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, Moderator, Managing Editor