Mindy Diamond on Independence: Why a $5B UBS Breakaway Team Set Out to Build the 'Boutique Firm of the Future'

Sep 23, 2021

Rob Sechan, Managing Partner and Co-Founder, NewEdge Wealth, shares his journey to independence.

New NASAA President to Prioritize Expungements, Digital Assets

Sep 22, 2021

Maryland Securities Commissioner Melanie Senter Lubin succeeds West Virginia Senior Deputy Securities Commissioner Lisa Hopkins.

Michael Jordan's First Direct Fintech Investment Is in Estate Planning

Sep 22, 2021

Steve Lockshin's estate planning tech firm, Vanilla, landed an investment from NBA legend Michael Jordan. Here's the opportunity he saw.

Deck Stacked Against Smaller DIY Advisors in M&A

Sep 22, 2021

'The first deal I did was a complete disaster because I did it on my own,' said Ron Carson, founder and CEO, Carson Group, during a panel discussion on RIA M&A.

Citizens Financial CEO Hunts for Wealth Business Amid Deal Spree

Sep 22, 2021

Citizens is contacting wealth firms that look like a good fit and attempting to negotiate with their principals directly as a way of avoiding the bidding process.

AOC’s 'Tax the Rich' Dress Designer Described as 'Notorious Tax Deadbeat'

Sep 22, 2021

The CFDA fashion awards winner has a history of not paying up.

Advisor Innovations: Rick Ferri's Contrarian Views on Financial Advice

Sep 22, 2021

Rick Ferri talks about his start in the industry, how his thinking has evolved around Wall Street and whether a fee structure that charges clients for investment advice based on AUM can exist in a fiduciary framework.

Commonwealth Snags Former Dynasty CCO to Lead RIA Compliance

Sep 21, 2021

Commonwealth hopes Alexander Hansen, the former CCO of Dynasty, will brings its compliance consulting support for fee-only advisors to the next level.