Industry

RIA Lawyers, founded by Max Schatzow, Cary Kvitka and Ryan Walter, will work with advisory firms with assets under management between $100 million and $10 billion.

Choir hopes to set the standard for conference diversity, with the goal of raising the visibility of women, nonbinary people and people of color onstage at industry events.  

A survey from the North American Securities Administrators Association also found that fraudulent schemes using promissory notes, social media and self-directed IRAs worried state securities regulators the most for 2022.

Wealth management is a particularly attractive business for investment right now.

The combined businesses will continue to operate under the Laird Norton Wealth Management and Wetherby Asset Management names.

Tara M. Brunst pleaded guilty to conspiracy to commit mail and wire fraud, mail fraud and three counts of wire fraud. She was originally charged in September 2020 with co-defendants Raymond A. Erker and Kevin Krantz.

Why should advisors bother with NFTs? Because there's real money involved.

While most dismiss nonfungible tokens as speculative, they have profound implications for financial advisors.

Elliott, the CFP Board’s first African American chair, outlines her priorities in the role, including a focus on proposed changes to the organization's appeals process and greater emphasis on enforcement.

Academics at the University of Oregon found that private equity–backed RIAs had a 147% increase in the percentage of their advisors committing misconduct after the takeover.