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Tricia Rothschild

What Brought Tricia Rothschild Back to WealthTech What Brought Tricia Rothschild Back to WealthTech

New Apex Clearing President Tricia Rothschild discusses Robinhood, robos and the move away from products and toward client services in wealth management.

bySamuel Steinberger, Senior Technology Editor

Aug 11, 2020

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1 Min Read

Another TD Ameritrade Exec Departs, Joins LPL Another TD Ameritrade Exec Departs, Joins LPL

byDiana Britton, Moderator

Aug 11, 2020

1 Min Read

Shirl-Penney-dynasty-new.jpg

Q&A: Shirl Penney, Dynasty Financial Partners Q&A: Shirl Penney, Dynasty Financial Partners

byErick Bergquist

Aug 7, 2020

1 Min Read

mercer-advisors

Mercer Global Advisors Acquires $130M Summit Wealth Advisors Mercer Global Advisors Acquires $130M Summit Wealth Advisors

byDiana Britton, Moderator

Aug 5, 2020

1 Min Read

Canada’s CI Financial Acquires $4.5B RIA Balasa Dinverno Foltz Canada’s CI Financial Acquires $4.5B RIA Balasa Dinverno Foltz

byDiana Britton, Moderator

Aug 5, 2020

1 Min Read

Skip Schweiss TD Ameritrade

Skip Schweiss Leaves TDAI as Schwab Acquisition Continues Skip Schweiss Leaves TDAI as Schwab Acquisition Continues

bySamuel Steinberger

Aug 4, 2020

1 Min Read

Carla Harris

Morgan Stanley’s Carla Harris Says Success on Wall Street Requires Finding Allies

Morgan Stanley’s Carla Harris Says Success on Wall Street Requires Finding Allies

Abigail Johnson

Fidelity Family’s Vast Wealth Is Matched by Passion for Privacy

Fidelity Family’s Vast Wealth Is Matched by Passion for Privacy

byDevon Pendleton, Tom Maloney and Michael McDonald

focus financial

Founder of Focus Partner Firm Lake Street to Retire

Founder of Focus Partner Firm Lake Street to Retire

byDiana Britton, Moderator, Managing Editor

HighTower Advisors CEO Bob Oros

Hightower Buys Stake in $1.5B RIA Private Vista

Hightower Buys Stake in $1.5B RIA Private Vista

byDiana Britton, Moderator, Managing Editor

Image courtesy of Thinkstock

Some RIAs Ditch the Office for Good

Some RIAs Ditch the Office for Good

byPatrick Donachie, Senior Reporter

Procyon Office Conference.jpg

Dynasty Partner Firm Procyon Recruits $2 Billion UBS Advisor

Dynasty Partner Firm Procyon Recruits $2 Billion UBS Advisor

byDiana Britton, Moderator, Managing Editor

Joe Duran Rise Growth Partners RIA news

Joe Duran on Year One With Goldman Sachs Personal Financial Management

Joe Duran on Year One With Goldman Sachs Personal Financial Management

byErick Bergquist

Advisor to Olympic Athletes on Games' Postponement

Advisor to Olympic Athletes on Games' Postponement

bySamuel Steinberger, Senior Technology Editor

JPMorgan Chase

New York Advisor Sues Former Employer JPMorgan Chase Over Severance Pay

New York Advisor Sues Former Employer JPMorgan Chase Over Severance Pay

byAsia Martin, Reporter

Dani Fava TDAI National LINC conference

Dani Fava Leaves TDAI for Envestnet

Dani Fava Leaves TDAI for Envestnet

bySamuel Steinberger, Senior Technology Editor

Wells Fargo bank

Wells Fargo Hires Mike Santomassimo to Succeed John Shrewsberry as CFO

Wells Fargo Hires Mike Santomassimo to Succeed John Shrewsberry as CFO

byHannah Levitt

Kestra Financial Names Stephen Langlois President

Kestra Financial Names Stephen Langlois President

byPatrick Donachie, Senior Reporter

Schwab Advisor Services RIA Roadmap White Paper

Sponsored Content

The RIA Roadmap: Key steps to going independent

The RIA Roadmap: Key steps to going independent

computer technology finance

Structured Products Platform Luma Hires New Marketing Head

Structured Products Platform Luma Hires New Marketing Head

bySamuel Steinberger, Senior Technology Editor

DeVoe: COVID-19 Reveals Limitations of Smaller Players, Not Weakness in RIA M&A

DeVoe: COVID-19 Reveals Limitations of Smaller Players, Not Weakness in RIA M&A

byErick Bergquist

SEC building

SEC Charges Virginia Advisor With Stealing $6 Million From Clients

SEC Charges Virginia Advisor With Stealing $6 Million From Clients

byPatrick Donachie, Senior Reporter

Pershing office

Pershing Hires Emily Schlosser as Jim Crowley's Replacement as COO

Pershing Hires Emily Schlosser as Jim Crowley's Replacement as COO

byAsia Martin, Reporter

Advisor Tyrone Ross Develops 'Learn to Money' Video Series

Advisor Tyrone Ross Develops 'Learn to Money' Video Series

byDiana Britton, Moderator, Managing Editor

William Galvin

Broker Chased High Commissions From Illiquid REITS: Galvin

Broker Chased High Commissions From Illiquid REITS: Galvin

byPatrick Donachie, Senior Reporter

This RIA’s Niche: Helping the Wrongfully Convicted Build Secure Financial Futures

This RIA’s Niche: Helping the Wrongfully Convicted Build Secure Financial Futures

The Dixmoor Five

The Dixmoor Five

Pershing Loses 30-Year Vet to Consulting Group

Pershing Loses 30-Year Vet to Consulting Group

byAsia Martin, Reporter

SEC seal

SEC Charges Head of Former RIA With Running Ponzi Scheme

SEC Charges Head of Former RIA With Running Ponzi Scheme

byPatrick Donachie, Senior Reporter

CFP Board Chair-Elect Kamila McDonnough

New CFP Board Chair-Elect Stresses Need for Diversity, Governance Reforms

New CFP Board Chair-Elect Stresses Need for Diversity, Governance Reforms

byPatrick Donachie, Senior Reporter

Matt Meyers Sr. and Matthew Meyers Jr.

LPL Recruits $300 Million Austin-Based Team From Voya

LPL Recruits $300 Million Austin-Based Team From Voya

byDiana Britton, Moderator, Managing Editor

CFP Board Elects First Black Woman Board Chair-Elect

CFP Board Elects First Black Woman Board Chair-Elect

byPatrick Donachie, Senior Reporter

Creative Planning Acquires RIA Serving Expats

Creative Planning Acquires RIA Serving Expats

byDiana Britton, Moderator, Managing Editor

Redtail CEO Brian McLaughlin

Redtail CEO Brian McLaughlin Joins Riskalyze Board of Directors

Redtail CEO Brian McLaughlin Joins Riskalyze Board of Directors

byDiana Britton, Moderator, Managing Editor

RIA M&A Activity Hit Lows, Highs in Q2

RIA M&A Activity Hit Lows, Highs in Q2

byDiana Britton, Moderator, Managing Editor