Industry

Former Silver Lane Advisors executive Peter Nesvold makes his second investment in the RIA space.

Many regulatory analysts think it is unlikely that the SEC would undergo yet another rule-making process, especially considering how long it took to design and implement the current rule. But in a 'blue sweep,' Congress may act.

According to TD Bank, the fintech company unlawfully used TD’s name, trademarks and logos to obtain users’ banking information.

About 47% take the gender profile of a company into account, according to the poll of more than 100 global asset managers with $10 trillion in combined assets under management.

Tagge Rutherford Financial Group joined LPL Financial from Cetera

Time is running out for RIAs to sell majority stakes and hedge against a Democratic sweep of the presidency and Congress on Nov. 3.

Berger Financial Group spent 18 years with Cambridge Investment Research but now has launched its own RIA.

Jumping from the employee channel to build an independent advisory practice is increasingly easy—except when it comes to health insurance.

The November CFP exams will be offered remotely, in addition to the brick-and-mortar centers administered by Prometric.

Unlike its wirehouse competitors, Morgan Stanley added to its head count in the third quarter of the year, amidst the COVID-19 pandemic.