Industry

Scarlett Abraham Clarke is joining the Massachusetts-based company, and hopes to help the firm cultivate talent and create safe workplaces for employees during the challenge of the remote work environment.

Hart Financial Group said it turned to Hightower to accelerate growth and free up time to spend with clients.

SEC Chairman Jay Clayton said he was 'cautiously satisfied' by Regulation Best Interest's rollout thus far and said that he was seeing harmonization in the customer experience in both brokerage and fee-for-service models.

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.