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Some 10% now have a stake in the fast-growing RIA. 'We anticipate that the percentage that’s owned by employees should increase every year from now and ongoing,' Mallouk said.

A succinct summary of the mergers, acquisitions and movements in the wealth management industry over the first week of March.

SEC Commissioner Hester Peirce says the agency should put out more guidance before taking enforcement action on ESG and climate risk disclosure issues.

Commonwealth's new SVP is charged with remodeling platform access to products and services for advisors around advanced planning, annuities, investments and retirement planning.

The new head of marketing has taken over the responsibilities of former boss Abby Salameh, with plans to bring the growing marketing and advisor engagement teams closer together.   

The turnkey asset management platform is looking more like a diversified wealthtech provider, having added services for planners and RIAs.

Heirs will finally begin to see some of their inheritance.

Snowden Lane looks to bring on more advisors fleeing firms that put restrictions on international clients.

Keith Gill, who became a central figure in the 'Reddit rebellion' and rise of GameStop shares in January, worked with MML Investors Services, a broker/dealer subsidiary of MassMutual.