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Industry News & Trends
California Bill Exempting 529s From Bankruptcy Goes to GovernorCalifornia Bill Exempting 529s From Bankruptcy Goes to Governor

A new California bill would protect college savings in its ScholarShare 529 program from creditors.

byDiana Britton, Managing Editor
Aug 28, 2020
|
1 Min Read
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RIA
Former Florida Advisor Sentenced to 10 Years in PrisonFormer Florida Advisor Sentenced to 10 Years in Prison
byAsia Martin
Aug 27, 2020
2 Min Read
LPL Financial
WealthTech
LPL Adds YCharts to Vendor Affinity ProgramLPL Adds YCharts to Vendor Affinity Program
bySamuel Steinberger
Aug 27, 2020
1 Min Read
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Financial Planning
Argent Wealth Management Becomes Hightower’s Seventh Deal This YearArgent Wealth Management Becomes Hightower’s Seventh Deal This Year
byDiana Britton
Aug 27, 2020
1 Min Read
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Pulls Plug on Florida Advisor's Private FundSEC Pulls Plug on Florida Advisor's Private Fund
byPatrick Donachie
Aug 26, 2020
2 Min Read
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RIA
LPL, Cetera Add Teams from Voya, Securities Service NetworkLPL, Cetera Add Teams from Voya, Securities Service Network
byDiana Britton
Aug 26, 2020
1 Min Read

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The Rock and Dany Garcia
RIA
Smackdown! The Rock Is 'Strategic Investor' In Acorns
Smackdown! The Rock Is 'Strategic Investor' In Acorns
Aug 26, 2020
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bySamuel Steinberger, Senior Technology Editor
Pershing office
WealthTech
Pershing Announces Integrations With Alts Platforms CAIS, iCapital Network
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Aug 25, 2020
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WealthTech
Envestnet Adds Access to Bancorp's Automated Securities-Backed Loans
Envestnet Adds Access to Bancorp's Automated Securities-Backed Loans
Aug 25, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
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RIA
Hightower Acquires $1.3B RIA Stearns Financial Group
Hightower Acquires $1.3B RIA Stearns Financial Group
Aug 25, 2020
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1 Min Read
byDiana Britton, Managing Editor
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Industry News & Trends
Three Former Wells Fargo FiNet Advisors Merge, Transition to LPL
Three Former Wells Fargo FiNet Advisors Merge, Transition to LPL
Aug 24, 2020
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1 Min Read
byDiana Britton, Managing Editor
green-investing
ETFs
More North American Investors Jump on the Sustainable Smart Beta Train
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Aug 24, 2020
|
2 Min Read
byAsia Martin, Reporter
SEC
Regulation & Compliance
NPB Financial Group Settles SEC Charges Over Share Class Violations
NPB Financial Group Settles SEC Charges Over Share Class Violations
Aug 21, 2020
|
1 Min Read
byDiana Britton, Managing Editor
Morningstar
Mutual Funds
Morningstar Launches Free ESG Fund Screening Tool
Morningstar Launches Free ESG Fund Screening Tool
Aug 21, 2020
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1 Min Read
byDiana Britton, Managing Editor
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RIA
tru Independence Announces New PE Backing, COO
tru Independence Announces New PE Backing, COO
Aug 20, 2020
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1 Min Read
byErick Bergquist
DOL sign
Regulation & Compliance
Majority of Investment Industry Opposes DOL’s ESG Proposal
Majority of Investment Industry Opposes DOL’s ESG Proposal
Aug 20, 2020
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2 Min Read
byDiana Britton, Managing Editor
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RIA
Good Life Companies Adds Two Advisors From Banking Channel
Good Life Companies Adds Two Advisors From Banking Channel
Aug 20, 2020
|
1 Min Read
byDiana Britton, Managing Editor
money globe
Alternative Investments
CFA Institute Seeks Advisor Input on ESG Disclosure Standards
CFA Institute Seeks Advisor Input on ESG Disclosure Standards
Aug 19, 2020
|
1 Min Read
byAsia Martin, Reporter
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WealthTech
Broadridge: Tech Tools Fall Short, Leaving Advisors Suffering
Broadridge: Tech Tools Fall Short, Leaving Advisors Suffering
Aug 18, 2020
|
1 Min Read
byDiana Britton, Managing Editor
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WealthTech
LPL Financial Adds Slack Capabilities
LPL Financial Adds Slack Capabilities
Aug 18, 2020
|
1 Min Read
byDiana Britton, Managing Editor
Charles Schwab office
Industry News & Trends
Financial Literacy More Important to Americans Than Health and Wellness
Financial Literacy More Important to Americans Than Health and Wellness
Aug 17, 2020
|
1 Min Read
byDiana Britton, Managing Editor
LPL Financial
Industry News & Trends
LPL Recruits $300M Team From KMS Financial Services
LPL Recruits $300M Team From KMS Financial Services
Aug 17, 2020
|
1 Min Read
byDiana Britton, Managing Editor
LPL financial
RIA
LPL’s Consulting Head, Andy Kalbaugh, to Retire
LPL’s Consulting Head, Andy Kalbaugh, to Retire
Aug 14, 2020
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1 Min Read
byDiana Britton, Managing Editor
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WealthTech
Addepar Hits $2T in Assets Under Advisement
Addepar Hits $2T in Assets Under Advisement
Aug 13, 2020
|
1 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
Kestra sign
High Net Worth
Two Kestra Private Wealth Services Teams Combine to Form $500M Firm
Two Kestra Private Wealth Services Teams Combine to Form $500M Firm
Aug 13, 2020
|
1 Min Read
byDiana Britton, Managing Editor
LPL Financial
Industry News & Trends
LPL Financial Adds $800M Team From Securities America
LPL Financial Adds $800M Team From Securities America
Aug 13, 2020
|
1 Min Read
byDiana Britton, Managing Editor
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Alternative Investments
PGIM Partners With iCapital Network to Bring Alts Downstream
PGIM Partners With iCapital Network to Bring Alts Downstream
Aug 12, 2020
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1 Min Read
byDiana Britton, Managing Editor
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Recruiting
Robinhood Hiring 'Registered Financial Representatives'
Robinhood Hiring 'Registered Financial Representatives'
Aug 11, 2020
|
1 Min Read
bySamuel Steinberger, Senior Technology Editor
LPL Financial
RIA
Another TD Ameritrade Exec Departs, Joins LPL
Another TD Ameritrade Exec Departs, Joins LPL
Aug 11, 2020
|
1 Min Read
byDiana Britton, Managing Editor
FINRA
Regulation & Compliance
Interactive Brokers Hit with $38M in Fines
Interactive Brokers Hit with $38M in Fines
Aug 10, 2020
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2 Min Read
byAsia Martin, Reporter
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WealthTech
Black Diamond and Schwab Improve Integrations
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Aug 10, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
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Wealth Planning
LPL Adds $150M Bialke Financial Partners
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Aug 10, 2020
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1 Min Read
byDiana Britton, Managing Editor
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Industry News & Trends
NFL Players Union Drafts Morgan Stanley
NFL Players Union Drafts Morgan Stanley
Aug 7, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
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Investment
$77.5M Gold Family Wealth Joins Carson Partners
$77.5M Gold Family Wealth Joins Carson Partners
Aug 7, 2020
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byDiana Britton, Managing Editor
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Regulation & Compliance
Former New York Advisor Charged With Insider Trading
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Aug 7, 2020
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byDiana Britton, Managing Editor
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WealthTech
HSA Provider Lively Adds Automated Investing, Access to DFA Fund
HSA Provider Lively Adds Automated Investing, Access to DFA Fund
Aug 6, 2020
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