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.
"We agree with the need to strengthen the enforcement program," said CFP Board CEO Kevin Keller on Tuesday, responding to a Wall Street Journal report that found thousands of CFP designation holders had customer disputes or criminal charges on...
Lido Advisors, an RIA in Los Angeles, said Thursday it is taking First Western Financial Inc.'s Los Angeles-based fixed income portfolio management team in-house.
Raymond James Financial reports that its advisor ranks swelled to a record 7,904 in its fiscal third quarter while AUM grew 6% year over year to $143.1 billion.
Deal ensures Schwab is the exclusive referral wealth management provider to USAA members, but given smaller account sizes, "we don't see conflicts in this and the RIA channel," says a Schwab executive.
Integrated Partners, the Waltham, Mass.-based financial planning and registered investment advisory firm, has added San Diego-based Mohr Financial Group to its roster of 141 advisory partners.
Chris Flint has been endorsed by the Financial Services Institute and the Bank Insurance & Securities Association in his attempt to fill a 'Large Firms' seat on the Board of Governors for the regulatory agency.