News

The SEC chair told the House Appropriations Committee he would use the additional funds to keep pace with growing number of RIAs, scrutinize broker/dealers' Reg BI compliance, and get back to in-person examinations.

Allianz was banned for a decade from some fund services in the United States.

Mariner Wealth Advisors continues 2022 growth trajectory with second Detroit-area acquisition and new senior VP Jennifer Hanau.

Nathan Carman allegedly plotted a decade-long scheme to access millions.

Verdence Capital Advisors’ new turnkey investment unit seeks to provide research and investment options for growth-minded RIAs.

The high percentage of blank responses in a section of Form ADV related to the SEC's new marketing rule could indicate that RIAs are still grappling with how to comply with the regulation, according to a new analysis from IndyFin.

Financial Services Institute CEO Dale Brown opposes the DOL decision, arguing the rule offers 'much-needed certainty' for advisors who opted to be independent contractors.

Cameron Dawson, former Fieldpoint Private Securities strategist and frequent market commentator, is RIA NewEdge Wealth’s first CIO.