See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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The Labor Department’s proposed rule would remove obstacles for fiduciaries to consider ESG issues in investments, with one public policy expert expecting it to be finalized by early 2022.
In this inaugural episode of the WealthStack podcast, Mark Bruno and Joe Duran discuss how modern technology and current worldwide events have changed the way that advisors work.
Over half of RIA deals done in the third quarter involved selling firms with $1 billion or more in assets, up from the historic average of 30%, according to DeVoe & Company’s latest RIA Deal Book.
During a speech at the Practising Law Institute's “SEC Speaks” conference, Rick Fleming argued some digital engagement practices could “blur the line” between solicited and unsolicited trading.
Riskalyze CEO Aaron Klein details the initiatives, platforms and strategies that helped the firm become finalists in multiple categories at the 2021 WealthManagement.com Industry Awards.
The Covenant deal, Captrust’s seventh this year, brings the RIA more scale in Texas and continues its strategy of combining retirement plan services with wealth planning.
The AI and analytics team will be responsible for managing data, establishing best practice, and avoiding duplication of data analysis efforts across the bank’s four divisions.
Registrants have a 'good understanding' of what the commission expects from Reg BI compliance, so those questions will likely be 'integrated' into the Division of Examination's regular programs, according to an associate director with the division.
