See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Small and large firms alike are starting to reconsider whether they should retain the amount of office space they currently have as work-from-home largely remains the norm months into the spread of COVID-19.
Schwab’s latest RIA benchmarking survey shows how technology can improve an RIA’s performance. But the coronavirus has been the catalyst that pushed many to pull the trigger.
Hightower said it has acquired an undisclosed ownership stake in Frontier Investment Management, a $3.3 billion RIA based in Dallas, the firm's third and largest deal this year.
While many brokerage and advisory firms had followed compliance mandates for developing their forms, the Commission still found examples of forms that could be "more clear or otherwise improved."
The Commission said Mark L. Hopkins directed more than $1 million from brokerage accounts towards his own account at a credit union in a complaint filed Friday.
