Former Wells Fargo, LPL Advisor Pleads Guilty in $626K Fraud

Feb 06, 2023

Mario Rivero pleaded guilty in New Jersey federal court to charges of wire fraud and securities fraud.

How One Lotto Winner Spent His Millions

Feb 06, 2023

What would an advisor do differently?

'Coordinated Raid' on Wells Fargo Branch Costs Raymond James $20M

Feb 03, 2023

Raymond James systematically 'targeted all the employees' at a Wells Fargo office in Arkansas, according to an arbitration award from FINRA.

Sanctuary's CEO Jim Dickson Suddenly Departs the Firm

Feb 02, 2023

Sanctuary’s board has named former Ladenburg Thalmann executive, and Sanctuary board member, Adam Malamed to lead the firm. Dickson has no further role at the company, according to executives.

Savant Lures New M&A Head From The Mather Group

Feb 02, 2023

Patrick Lawlor will help execute on Savant’s five-year growth plan, which includes an accelerated M&A strategy.

Mindy Diamond on Independence: Bluespring's David Canter on M&A, RIAs and More

Feb 02, 2023

The president of Kestra Holding’s Bluespring Wealth Partners discusses the firm’s mission of acquiring independent wealth management practices, and shares his unique perspective and advice on M&A, independence, business ownership and more.

Gavin Spitzner, Popular and Outspoken Advisor Tech Consultant, Dies at 57

Jan 31, 2023

On social media and at industry gatherings, Spitzner was open and transparent about his acute myeloid leukemia diagnosis.

RIA Edge Podcast: AssetMark’s Natalie Wolfsen and Adhesion’s Barrett Ayers

Jan 31, 2023

The CEOs of AssetMark and Adhesion Wealth discuss the motivations behind their merger, and their vision for the future.

First Trust Rebrands Direct Indexing Unit, Installs New CEO

Jan 31, 2023

Former Alerian and Nasdaq executive Robert Hughes is the new CEO of First Trust Direct Indexing, the new brand name for Veriti, taking over for co-founder and Managing Partner James Dilworth.

ChatGPT ‘Arms Race’ Adds $4.6B to Nvidia Founder’s Fortune

Jan 27, 2023

Jensen Huang’s chipmaker is Wall Street’s top pick for traders looking to profit from the AI chatbot, giving him the greatest wealth gain this year among US billionaires.