The businesses will pay a combined $850,000 for allegedly using hypothetical performance in advertising without updating their policies and procedures to comply with the rule.

Advisors, reps and leaders from throughout the industry discussed diversity, equity and inclusion issues during a think tank held in conjunction with the 2023 WealthManagement.com Industry Awards.

Duran, who built and sold United Capital to Goldman Sachs, has revealed his new company, Rise Growth Partners, which will take minority stakes in RIAs and help them become national, scaled platforms.

Leaders from major RPA record keepers gathered to discuss during a think tank and roundtable discussions at the 2023 WealthManagment.com Industry Awards

Are your custodians eyeing your clients? ‘The margins are there,’ said one RIA CEO.

Avantax shareholders will be cashed out at $26 per share and the tax-focused broker/dealer will operate as separate unit within Cetera

Fidelis Capital has hired Christopher Gunster from Bank of America Corp. as head of fixed-income strategies