Practice Management

The dynamics are shifting in the RIA M&A space, and recent events will likely spur a rise in small aggregators merging or selling to larger enterprises, argues NewEdge Advisors’ Alex Goss.

The Investment Adviser Association, the trade group for RIAs, said it appreciated the additional time and was worried about the 'interrelatedness of the SEC's current proposals.' The commission also proposed updates to cybersecurity rules for...

Don’t squander the chance to reassure clients they are protected while also setting them up for even greater long-term success.

Prosecutors claim Guo Wengui and his financial advisor, Kin Ming Je, conspired to defraud thousands of victims of more than $1 billion using “a series of complex fraudulent and fictitious businesses and investment opportunities.”

What clients need to know as shock waves ripple through the US financial system after the swift collapse of SVB.

During a panel at the IAA's Investment Adviser Compliance Conference, one CCO worried the demand included in the SEC’s proposed cyber rule didn’t give firms enough time to determine what happened.

Commissioner Mark Uyeda argued that such dates all can’t 'hit at the same time' during a discussion at the Investment Adviser Compliance Conference.