Industry

The rebrand comes as the $3.3 billion AUM firm aims to broaden its appeal to a wider swath of advisors and increase recruiting.

The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.

Confluence Financial Planning’s six associates will continue to operate out of their Sacramento office. It’ll be Mariner’s first location in the city, and 15th in California.

Fidelity, WisdomTree, BlackRock and JPMorgan Securities have all named Jane Street Capital as their "authorized participant" for a possible spot Bitcoin ETF.

Wall Street has lost out on billions in fees as direct lenders lured away corporate borrowers. The future of their leveraged lending businesses depends on how they adapt.

Industry experts point to continued proliferation of AI, tech stack integration, software supporting new fee models and advisors using an increasingly diverse array of applications to offer additional services as storylines to look out for in the...

Advisor Growth Strategies expects new players to enter the RIA M&A market in 2024, as valuations diverge and deals become larger and more creative.

Industry experts cited the DOL’s fiduciary rule, further guidance on the SEC’s marketing rule and potential movement on unpaid FINRA arbitration awards as possible developments in 2024.

The independent broker/dealers that tighten connections with their advisors and demonstrate flexibility in their affiliation models will be competitive in the year ahead.

This follows a July partnership announcement with Silver Lake Waterman and a C round in 2021.