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Vista Equity Hires KKR’s Parant to Further Private Wealth Push

Feb 16, 2024

The move comes as individual investors hold about 50% of global assets under management—a figure that’s expected to rise to almost 70% by 2023,

VanEck to Pay $1.75M to Settle SEC Charges Related to ETF Promoted by Dave Portnoy

Feb 16, 2024

The SEC claims VanEck failed to disclose the involvement of a social media influencer in promoting the BUZZ ETF.

Former Northwestern Mutual Advisor Launches Indie RIA

Feb 16, 2024

David Eisenhauer and his team managed $450 million in assets for around 150 clients on the broker/dealer platform.

$24B Choreo Hiring Growth, Practice Management Coaches

Feb 15, 2024

These full-time executives will help the firm’s advisors network and build relationships with CPAs in their market.

Cetera OSJ Snags $312M Team From LPL Financial

Feb 15, 2024

The Regal Wealth Advisors team joined Summit Financial Networks, the OSJ run by Marshall Leeds.

The Diamond Podcast for Financial Advisors: Former First Republic Head Launches RIA with Backing from Summit Partners

Feb 15, 2024

Bob Thornton and Megan Whalen candidly discuss the fallout from First Republic Bank and building a new RIA backed by private equity firm Summit Partners.

Pathstone to Buy $3.65B Crestone Capital

Feb 15, 2024

With its 14th acquisition in as many years, Pathstone is picking up around 150 client households with an average of $19 million in managed assets.

Morgan Stanley to Cut Several Hundred Jobs in Wealth Unit

Feb 14, 2024

The cuts will affect less than 1% of employees in the wealth-management business, which has about 40,000 workers and is the firm’s largest unit.

The DOL’s Independent Contractor Rule and the Law of Unintended Consequences

Feb 14, 2024

The final impact has yet to be determined.

Wilmington Trust CEO to Exit $79 Billion Wealth Manager

Feb 14, 2024

Doris Meister, who has led Wilmington since 2016, will be leaving her role by the end of May.

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Industry

See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates. Get the latest stories direct to your inbox - subscribe to the Morning Memo.

See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
Get the latest stories direct to your inbox -
subscribe to the Morning Memo.