A Goldman Partner’s Sexually Explicit Video Led to Millions in Settlement

Jun 15, 2023

The incident sparked a sensitive review overseen by senior leaders. The partner and the woman who complained left the firm by early 2021.

Growth, Fragmentation Driving Private Equity Interest in RIAs

Jun 15, 2023

As much as $3.7 trillion in client assets will be up for grabs in the RIA space over the next five years—and private equity firms want in.

Mindy Diamond on Independence: The Founding Partners of IEQ Capital on Growth, Culture and the Luminous Leap

Jun 15, 2023

Alan Zafran and Eric Harrison, two of the three co-CEOs and founding partners of IEQ Capital, discuss making two leaps to independence from Merrill to Luminous then First Republic to IEQ and share their journey and formula for growth they mastered...

Two Top Pershing Execs Jump Ship

Jun 14, 2023

Pershing's Lisa Crafford and Morgan McGovern have resigned from their roles at the RIA custodian.

Commonwealth Nabs $881M Firm From Securian

Jun 14, 2023

The move comes several months after Cetera announced it would acquire Securian’s retail wealth business, including its b/d and RIA.

Alternative Investments Platform iCapital Launches Marketplace

Jun 14, 2023

The new platform seeks to bridge the gap that separates asset managers, advisors and clients from alternative investments.

Adam Antoniades Likely to Step Down as Cetera CEO by Year-End

Jun 14, 2023

Several industry observers close to Cetera say the timeline is set and former Fidelity executive Mike Durbin, CEO of the holding company, will take control of the firm after an upcoming recapitalization with private equity owner Genstar.