WealthManagement EDGE Podcast: Casting a Bold and Impactful Vision with Aisha Hunt

Oct 12, 2023

The founder of law firm Kelley Hunt & Charles discusses legal changes in the way we do business and perspectives on diversity and inclusion.

Mindy Diamond on Independence: $1B Merrill Breakaway Team One Year Later

Oct 12, 2023

The founders of Beverly Hills Private Wealth discuss their motivations to leave Merrill, their transition to independence and experience as one of the first RIAs to choose Goldman Sachs Advisor Solutions as their custodian.

D.C. Court Rejects Rep's Argument Questioning FINRA’s Constitutionality

Oct 11, 2023

But the existential threat to the regulator remains unresolved.

The SEC Risks Being Ensnared in Its WhatsApp Trap

Oct 11, 2023

The agency’s moral authority may be eroded by how aggressively it has fined institutions for behavior everyone else thought was legal. Pushback may follow.

What Are Most Wealth Management Firms Missing?

Oct 11, 2023

There is no playbook on how to find a successor with the right chemistry, availability and skills.

Connecticut Advisor Pleads Guilty to $2.7M Cherry-Picking Scheme

Oct 10, 2023

Jonathan Vincent Glenn faces 25 years in prison after pleading guilty to federal securities fraud charges.

RIA Edge Podcast: Connectus Wealth's Molly Bennard on Bringing Different Connections into Focus

Oct 10, 2023

Molly Bennard discusses Connectus Wealth's business model, the importance of organic growth, future opportunities and more.

How to Free Yourself from the 'If Only' Mindset

Oct 09, 2023

Here are the five most common self-limiting statements that advisors share—and ways to reframe your thinking.