According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

Gamified trading apps and niche ETFs have a cost that’s harder to spot but is little different from the damage inflicted on portfolios by high fees.

The advisory firm takes minority stakes in BFG Wealth and Canon Capital Wealth Management.

The technology provider serving over 1,000 firms globally also rolled out new dashboards and other product enhancements.

The deal adds 17 advisors to Kingswood’s RIA, as well as a turnkey asset management platform.

Finance is rushing to use rapidly evolving AI tools. As the machines get smarter, the risks get weirder.

The full extent of the benefits to real estate investment of lower rates will also depend on whether the Fed sticks a soft landing.

The bar is only getting higher.

The independent broker/dealer has expanded its partnership with Vestwell to launch a new pooled employer plan.

Ongoing efforts to consolidate and integrate tech at Envestnet continue; d1g1t adds billing and Vise new hire and new advisors.