For XO Wealth Management, the partnership with Slate Hill will provide access to family office services and enhance its ability to tap into the private equity space.

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.

Sponsors and participants alike are prioritizing financial education and more savings options in workplace retirement plants.

The Volunteer State is the 31st to enact a regulation or law based on a model released by the National Association of Insurance Commissioners in 2020.

From BNY Mellon to Fidelity and BlackRock, members of the Wall Street establishment are planning for a future in digital-assets.

Former broker Anthony Liddle misrepresented the risk of GWG 'L' Bonds, a popular product sold by his broker/dealer, the subject of the SEC’s first Reg BI action. Then, Liddle pocketed clients' money.

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.

PAG gets a new CEO; Pitcairn takes on a new role; Commonwealth adds $230 million team from Advisor Group; Carson Wealth moves into Missouri; Focus firm announces second deal this month; and Dynasty Financial partners with an insurance provider.

The regulator cited the 'extraordinary cooperation' of Securities America, Royal Alliance and SagePoint as the reason for no penalties beyond restitution.