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All-Women Advisory Team With $335 Million AUM Joins Janney All-Women Advisory Team With $335 Million AUM Joins Janney

The five-person Dupre Keating Group is based in Pennsylvania and will join Janney from Morgan Stanley.

byPatrick Donachie, Senior Reporter

Jan 21, 2020

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1 Min Read

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Cerity Partners Adds $1 Billion AUM Sullivan & Serwitz in California Cerity Partners Adds $1 Billion AUM Sullivan & Serwitz in California

byErick Bergquist

Jan 21, 2020

1 Min Read

Wickham Cash Partners Joins UBS Private Wealth Wickham Cash Partners Joins UBS Private Wealth

byErick Bergquist

Jan 21, 2020

1 Min Read

U-Nest Founder and CEO Ksenia Yudina

Northwestern Mutual Invests In College Savings App Northwestern Mutual Invests In College Savings App

bySamuel Steinberger

Jan 17, 2020

2 Min Read

FINRA Names Jessica Hopper Head of Enforcement FINRA Names Jessica Hopper Head of Enforcement

byPatrick Donachie

Jan 17, 2020

2 Min Read

4. First Republic’s Purchase of Constellation Wealth Advisors

First Republic Adds Florida Wealth Managers from J.P. Morgan Securities First Republic Adds Florida Wealth Managers from J.P. Morgan Securities

byPatrick Donachie

Jan 16, 2020

1 Min Read

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Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

Miracle Mile Advisors Launches Institutional Division With Payden & Rygel Team

byAsia Martin, Reporter

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Galileo Money+ Open to Independent Financial Partners’ Advisors

Galileo Money+ Open to Independent Financial Partners’ Advisors

byAsia Martin, Reporter

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Paper Millionaires Looking for 'Pre-Wealth' Management

Paper Millionaires Looking for 'Pre-Wealth' Management

bySamuel Steinberger, Senior Technology Editor

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Stuart Heckman Named Academic Editor for Journal of Financial Planning

Stuart Heckman Named Academic Editor for Journal of Financial Planning

byAsia Martin, Reporter

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Regulation & Compliance

SEC Comes Under Fire for Lack of Diversity on Advisory Committees

SEC Comes Under Fire for Lack of Diversity on Advisory Committees

byDiana Britton, Managing Editor

BDO

Accounting Firm BDO USA Acquires Maryland RIA Biegel Waller

Accounting Firm BDO USA Acquires Maryland RIA Biegel Waller

byAsia Martin, Reporter

Martine Lellis

RIA Exec Martine Lellis Jumps to Mercer Advisors

RIA Exec Martine Lellis Jumps to Mercer Advisors

byDiana Britton, Managing Editor

Cerity Partners Merges With $3 Billion AUM RIA EMM Wealth

Cerity Partners Merges With $3 Billion AUM RIA EMM Wealth

byErick Bergquist

Rick Suarez

Citizens Bank-Owned RIA Clarfeld Names Rick Suarez New CEO

Citizens Bank-Owned RIA Clarfeld Names Rick Suarez New CEO

byDiana Britton, Managing Editor

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New England Capital, St. Germain Investment Management Merge

New England Capital, St. Germain Investment Management Merge

byAsia Martin, Reporter

Asset-Map, Black Diamond Integrate

Asset-Map, Black Diamond Integrate

bySamuel Steinberger, Senior Technology Editor

John Muschalek

Dallas B/D Hilltop Securities Names New Head of Wealth Management

Dallas B/D Hilltop Securities Names New Head of Wealth Management

byErick Bergquist

Donald Trump 409K tweet

Trump Asks: 'How Are Your 409K’s Doing?' and FinTwits Respond

Trump Asks: 'How Are Your 409K’s Doing?' and FinTwits Respond

byDiana Britton, Managing Editor

Massachusetts Gov. Charlie Baker

Regulation & Compliance

MA Governor Suggests Fiduciary Rule Will Cause 'Confusion'

MA Governor Suggests Fiduciary Rule Will Cause 'Confusion'

byPatrick Donachie, Senior Reporter

This Robo Emperor Has No Funds

This Robo Emperor Has No Funds

bySamuel Steinberger, Senior Technology Editor

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Industry News & Trends

EP Wealth Buys Guidant Wealth Advisors

EP Wealth Buys Guidant Wealth Advisors

byAsia Martin, Reporter

Ohio National Now Using Envestnet Insurance Exchange

Ohio National Now Using Envestnet Insurance Exchange

bySamuel Steinberger, Senior Technology Editor

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Industry News & Trends

StoneCastle Drops Account Minimums for Cash Solution

StoneCastle Drops Account Minimums for Cash Solution

bySamuel Steinberger, Senior Technology Editor

Pinkerton Private Wealth

FourThought Private Wealth Leaves Wells Fargo FiNET, Relaunches as RIA

FourThought Private Wealth Leaves Wells Fargo FiNET, Relaunches as RIA

byAsia Martin, Reporter

Dave Nadig

ETF Veteran Dave Nadig Moves to ETF Trends

ETF Veteran Dave Nadig Moves to ETF Trends

byDiana Britton, Managing Editor

LPL Financial

Financial Planning

Twenty Four Wealth Management Joins LPL Via Stratos Partnership

Twenty Four Wealth Management Joins LPL Via Stratos Partnership

byPatrick Donachie, Senior Reporter

shaking hands money

Mariner Wealth Advisors Reels In Two Tax Practices

Mariner Wealth Advisors Reels In Two Tax Practices

byAsia Martin, Reporter

Finra

Regulation & Compliance

Oppenheimer Dinged for Early UIT Rollover Violations

Oppenheimer Dinged for Early UIT Rollover Violations

byDiana Britton, Managing Editor

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Texting Support For Advisors Heats Up

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byDavis Janowski, Senior Technology Editor, WealthManagement.com

Derek Bruton

Industry News & Trends

UK Firm Buys Chalice Wealth

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byAsia Martin, Reporter

Jean and Ric Edelman

Edelman Founders and Firm Pledge Millions for Alzheimer’s Documentary

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byPatrick Donachie, Senior Reporter

Vanguard office ship

Vanguard Adds Stocks, Options to Commission-Free Platform

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byDiana Britton, Managing Editor

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Canada's CI Financial Acquires Another U.S. RIA

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Envestnet Tamarac

Envestnet Unveils First Improvements to PortfolioCenter

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bySamuel Steinberger, Senior Technology Editor

LPL Financial

LPL Pulls in Seven Pennsylvania Advisors

LPL Pulls in Seven Pennsylvania Advisors

byAsia Martin, Reporter