See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
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Vanguard’s move to eliminate commissions on ETFs is a challenge for the big RIA custodians, even as the firm denies it’s moving back into the business.
The Focus IPO is currently the only pure-play investment in the fast-growing RIA space—and if sophisticated investors see this as an opportunity, advisors should too.
The evaluation and restructuring began when Susan Schroeder, who has been with FINRA since 2011, was named executive vice president and head of enforcement last summer.