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Apex Bulks Up C-Suite Apex Bulks Up C-Suite

The digital custody and clearing firm is adding to its leadership ranks.

bySamuel Steinberger, Senior Technology Editor

Sep 19, 2019

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1 Min Read

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Arkadios Adds Two Advisor Teams From Triad Arkadios Adds Two Advisor Teams From Triad

byPatrick Donachie

Sep 18, 2019

1 Min Read

courthouse columns

Industry News & Trends

State Regulator Bars Arbitration Clauses in Advisor Contracts State Regulator Bars Arbitration Clauses in Advisor Contracts

byErick Bergquist

Sep 18, 2019

1 Min Read

ally invest dashboard

Ally Invest Offers New "Freemium" Managed and Self-Directed Products Ally Invest Offers New "Freemium" Managed and Self-Directed Products

byErick Bergquist

Sep 18, 2019

2 Min Read

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Digital Bank Aims To Help Parents Raise 'Financially Smart Kids'Digital Bank Aims To Help Parents Raise 'Financially Smart Kids'

bySamuel Steinberger

Sep 17, 2019

1 Min Read

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Bluespring Acquires $800 Million AUM Beacon Financial Group Bluespring Acquires $800 Million AUM Beacon Financial Group

byErick Bergquist

Sep 17, 2019

1 Min Read

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Wisdomtree office

Scott Welch Leaves Dynasty, Joins WisdomTree

Scott Welch Leaves Dynasty, Joins WisdomTree

byErick Bergquist

Stifel, BMO Settle Charges Over Blue Sheet Violations

Regulation & Compliance

Stifel, BMO Settle Charges Over Blue Sheet Violations

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byDiana Britton, Managing Editor

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

Regulation & Compliance

J.P. Morgan to Pay $1.1 Million for Failing to Disclose Reps’ Misconduct

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byDiana Britton, Managing Editor

American Century Continues to Build Out New Fee-Based Unit

American Century Continues to Build Out New Fee-Based Unit

byDiana Britton, Managing Editor

States Report Record Number of Enforcement Actions Against RIAs

States Report Record Number of Enforcement Actions Against RIAs

States Report Record Number of Enforcement Actions Against RIAs

byPatrick Donachie, Senior Reporter

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Industry News & Trends

New Jersey Advisor Managing $150 Million in Assets Joins LPL

New Jersey Advisor Managing $150 Million in Assets Joins LPL

byPatrick Donachie, Senior Reporter

American Century Building

American Century Partners With NYSE on Semi-Transparent ETFs

American Century Partners With NYSE on Semi-Transparent ETFs

byErick Bergquist

William Galvin

Industry News & Trends

Massachusetts Regulator Charges Man for Fraudulent Annuity Sales

Massachusetts Regulator Charges Man for Fraudulent Annuity Sales

byPatrick Donachie, Senior Reporter

Doug Ketterer

Financial Planning

Atria Subsidiary Sorrento Pacific Adds $1 Billion Schorn Wealth Management

Atria Subsidiary Sorrento Pacific Adds $1 Billion Schorn Wealth Management

byPatrick Donachie, Senior Reporter

Charles Schwab

Schwab Makes Improvements To Institutional Intelligent Portfolios

Schwab Makes Improvements To Institutional Intelligent Portfolios

byDavis Janowski, Senior Technology Editor, WealthManagement.com

money-gavel

Federal Judge Orders Massachusetts RIA to Repay Investors $1.3 Million

Federal Judge Orders Massachusetts RIA to Repay Investors $1.3 Million

byErick Bergquist

computer integrations

HiddenLevers To Power Allocator of Axxcess Wealth Platform

HiddenLevers To Power Allocator of Axxcess Wealth Platform

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Virginia Firm With $150 Million in AUM Joins LPL Financial

Virginia Firm With $150 Million in AUM Joins LPL Financial

Virginia Firm With $150 Million in AUM Joins LPL Financial

byPatrick Donachie, Senior Reporter

Apex Clearing Owner Funds University of Michigan Fintech Program

Apex Clearing Owner Funds University of Michigan Fintech Program

bySamuel Steinberger, Senior Technology Editor

mercer-advisors

Mercer Acquires $100 Million RIA in Albuquerque

Mercer Acquires $100 Million RIA in Albuquerque

byErick Bergquist

Merrill Team Breaks Away to Form New Hybrid RIA

Merrill Team Breaks Away to Form New Hybrid RIA

byDiana Britton, Managing Editor

handcuffs money

Regulation & Compliance

Former Morgan Stanley, Wells Fargo Advisor Pleads Guilty to Fleecing Clients

Former Morgan Stanley, Wells Fargo Advisor Pleads Guilty to Fleecing Clients

byDiana Britton, Managing Editor

hightower

HighTower Advisors Get Access to Riskalyze

HighTower Advisors Get Access to Riskalyze

byDiana Britton, Managing Editor

Trizic Becomes Harvest Savings & Wealth Technologies

Trizic Becomes Harvest Savings & Wealth Technologies

byDavis Janowski, Senior Technology Editor, WealthManagement.com

Morningstar

Passive Wins, Active Loses Under Morningstar's New Rating System

Passive Wins, Active Loses Under Morningstar's New Rating System

byDiana Britton, Managing Editor

Financial Planning

CIBC Continues Its Expansion Into U.S. Wealth Management

CIBC Continues Its Expansion Into U.S. Wealth Management

byDiana Britton, Managing Editor

Broadridge financial office

Reg BI Factors In Broadridge's Latest Acquisition

Reg BI Factors In Broadridge's Latest Acquisition

bySamuel Steinberger, Senior Technology Editor

Prudential

Prudential Shuffles Leadership, Focuses On 'Financial Wellness'

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bySamuel Steinberger, Senior Technology Editor

Vanguard office ship

Vanguard: Gender Diversity on Boards Is Not Enough

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byDiana Britton, Managing Editor

eMoney Adds Life Insurance Module

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bySamuel Steinberger, Senior Technology Editor

Erik Davidson

Former Wells Fargo CIO Joins Faith-Based Investment Shop

Former Wells Fargo CIO Joins Faith-Based Investment Shop

byErick Bergquist

American Funds

Investor Assets Increasingly Managed by Top Few Fund Families

Investor Assets Increasingly Managed by Top Few Fund Families

byDiana Britton, Managing Editor

SEC Seal

SEC Charges Philadelphia Advisor With $100 Million Investor Fraud

SEC Charges Philadelphia Advisor With $100 Million Investor Fraud

byErick Bergquist

XY Planning Network Conference

XYPN Announces Fintech Finalists

XYPN Announces Fintech Finalists

bySamuel Steinberger, Senior Technology Editor

shaking hands money

Industry News & Trends

National Holdings Acquires Boston-Based B/D

National Holdings Acquires Boston-Based B/D

byDiana Britton, Managing Editor