RIA SageView Taps Former TD Exec Jim Dario to Lead Wealth Management

Mar 16, 2022

Dario will lead organic growth efforts for the Aquiline-backed SageView’s $4 billion wealth management business.

RIA Edge Podcast: Beacon Pointe’s Matt Cooper on Driving Exponential RIA Growth

Mar 15, 2022

Beacon Pointe Advisors President Matthew Cooper shares the best practices for buying and selling a business.

SEC Commissioner Allison Herren Lee Plans to Leave Wall Street Regulator

Mar 15, 2022

Lee, a Democrat, will stay at the watchdog until President Joe Biden names her successor and that person is confirmed by the U.S. Senate.

OSJs Under Pressure to Do More

Mar 14, 2022

A small subset of OSJs is going beyond simply leveraging scale to get better deals with broker/dealers to become full-service support platforms for advisors.

How to Better Understand the Psyche of the Seller

Mar 14, 2022

Selling even a portion of an advisory business is a major decision and life event. It’s not one that should be rushed or taken lightly.

Biden's Executive Order Tries to Make Crypto Less Cryptic

Mar 11, 2022

The government finally officially recognizes the emerging digital asset industry as important to maintaining global competitiveness in finance and technology.

FINRA Fines Jump 60% in 2021 Even As Case Numbers Dip

Mar 11, 2022

Total fines would have fallen significantly over 2020 if not for the $57 million penalty against the trading app Robinhood, according to law firm Eversheds Sutherland.

Advisor Innovations Podcast: GeoWealth’s Colin Falls

Mar 11, 2022

GeoWealth President Colin Falls on the firm's growth trajectory and how technology can ease the tension for RIAs between model portfolios and customized investment management.