Industry

In the second week of 2023, RIA M&A announcements abound with deals from Cerity Partners, Captrust and Mercer, among others.

The acquisition of $100 million AUM Sommers Financial Management continues Wealthcare's burgeoning inorganic growth strategy.

Charles Richard Burgess will go to prison for more than six years for fleecing investors of more than $4 million, while pretending to be a registered investment advisor.

The giant asset manager had nearly 20,000 employees at the end of September.

Alan Gassman details the concrete steps he's taking toward inclusion.

The Financial Industry Regulatory Authority detailed the focus of its examinations in 2023.

If you are offering clients an ESG or sustainable investment solution, it’s important to walk the talk.

In an interview with WealthManagement.com, Dan Moisand stressed the need for updated guidelines and also said the Board hopes to provide more detail on the reasoning behind punishments.

Pruzan, the public face of the firm the investors and analysts, is leaving at the end of the month after 28 years at Morgan Stanley.