The move comes as individual investors hold about 50% of global assets under management—a figure that’s expected to rise to almost 70% by 2023,

The SEC claims VanEck failed to disclose the involvement of a social media influencer in promoting the BUZZ ETF.

David Eisenhauer and his team managed $450 million in assets for around 150 clients on the broker/dealer platform.

These full-time executives will help the firm’s advisors network and build relationships with CPAs in their market.

The Regal Wealth Advisors team joined Summit Financial Networks, the OSJ run by Marshall Leeds.

With its 14th acquisition in as many years, Pathstone is picking up around 150 client households with an average of $19 million in managed assets.

The cuts will affect less than 1% of employees in the wealth-management business, which has about 40,000 workers and is the firm’s largest unit.

In his new role as CEO of a nascent RIA and multifamily office within a bank-owned trust company, Hopkins hopes to fill a service gap he noticed during his time with Carson Wealth.