Industry

A United States District Court found that two Cetera firms failed to disclose conflicts of interest to advisory clients when recommending investment funds and taking 12b-1 fees, shared revenue, administrative fees and mark-ups.

The head of a non-profit executive sourcing firm will take over for outgoing CEO Geoffrey Brown as the NAPFA board seeks permanent replacement.

The deal represents a newer option for Cetera-affiliated advisors, where the broker/dealer will take minority stakes in wealth management practices to fuel their growth.  

The RIA platform is on track to set a record after adding 17 teams and more than $3.5 billion in first three quarters of 2022.

The world's biggest wealth manager is caught between a tech-savvy CEO and his results-driven lieutenant.

The most-promising growth opportunities are not outside the doors of an advisory firm, but inside, said industry executives, speaking at Riskalyze’s Fearless Investing Summit this week.

The big players in RIA M&A may be putting on a good face. But debt-heavy acquirers are starting to feel the impacts of the market environment, and it isn’t pretty.

The acquisition of the financial services publisher increases VettaFi’s reach by as much as 300%, says CMO Jon Fee.

Powerful cloud-based analytics from Snowflake and Amazon Web Services' Redshift will empower advisors, according to our tech columnist.