CAIS Group
This Week's Funding In Tech: CAIS, Ellevest and Eaglebrook Advisors
Apr 08, 2022
Wealthtech firms announced more than $150 million in investments across alts, female-focused investing and crypto.
Wells Fargo
Wells Fargo: There Is No Secret FINRA Agreement
Apr 07, 2022
In a court filing, Wells Fargo argued there was "no evidence in the record" supporting the existence of a verbal agreement between its counsel and FINRA to exclude certain arbitrators from their cases.
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Mindy Diamond on Independence: CEG’s John Bowen on What it Takes to Build a Blockbuster Business
Apr 07, 2022
What’s the secret to the success of top financial advisors? John Bowen of CEG Worldwide, coach to elite financial advisors, shares the “real gamechangers” that help them break through to the next level and accelerate growth—and more.
SEC Seal
Pelosi Adviser Is Among Biden’s Nominees for SEC Commissioner Slots
Apr 07, 2022
If confirmed by the U.S. Senate, Jaime Lizarraga would replace Allison Herren Lee and Mark Uyeda would fill an open Republican seat.
CI Financial
CI Financial to Take U.S. Wealth Unit Public
Apr 07, 2022
The Canadian aggregator of U.S. wealth management firms will use the proceeds of the IPO to pay down debt.
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Index Providers Part 2: Regulation on the Horizon
Apr 06, 2022
With the continued focus on index providers and the growth of index-based investment products, increased regulation is inevitable, writes the former CEO of S&P Dow Jones Indices.
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Index Providers Part 1: Looking to the Future
Apr 06, 2022
The big name providers are set to become even bigger, writes the former CEO of S&P Dow Jones Indices.
RIA Edge Podcast with Mark Bruno
RIA Edge Podcast: Pathstone’s Matthew Fleissig on the Journey to $35B
Apr 06, 2022
Pathstone President Matthew Fleissig discusses what it took to build the RIA into one of the largest in the business, and its plans for the future.
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MacKenzie Scott Is Expanding Her $12.4B Giving Spree Globally
Apr 05, 2022
The billionaire philanthropist has increased her donations to nonprofits based outside the U.S., in countries ranging from Brazil to Micronesia.
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