Sponsored By

Industry News & Trends

More Topics
Diversify Chief Investment Officer David Wrigley RIA news alternative investments
RIA
Diversify Expands Investment Management CapabilitiesDiversify Expands Investment Management Capabilities

The platform now includes more than a dozen fee-based alternative strategies, a comparable number of globally diversified passive strategies and five internal SMAs.

byAli Hibbs, Reporter
Mar 14, 2024
|
1 Min Read
Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing
Regulation & Compliance
Top 5 FINRA Enforcement Issues in 2023 Included Reg BI, SpoofingTop 5 FINRA Enforcement Issues in 2023 Included Reg BI, Spoofing
byPatrick Donachie
Mar 13, 2024
1 Min Read
YieldMax_iStock-1068533314.jpg
Insights & Analysis
Seek income with single ticker ETF covered call strategySeek income with single ticker ETF covered call strategy
Mar 13, 2024
Palm Financial Group Baird
RIA
Baird Picks Up $680M UBS Team in WisconsinBaird Picks Up $680M UBS Team in Wisconsin
byAli Hibbs
Mar 13, 2024
1 Min Read
estate plan
Estate Planning
Perfect Storm of Estate Planning ChallengesPerfect Storm of Estate Planning Challenges
byRandy A. Fox
Mar 13, 2024
1 Min Read
Focused on the Future podcast Carina Diamond
Business Planning
Focused on the Future: Carina Diamond on Staying in a Beginner's Mindset and the Power of ReinventionFocused on the Future: Carina Diamond on Staying in a Beginner's Mindset and the Power of Reinvention
bySuzanne Siracuse
Mar 13, 2024
advisors-running-arrows-illustration.jpg
Career Moves
Advisor Movement Increased 7.5% in 2023
Advisor Movement Increased 7.5% in 2023
Mar 13, 2024
|
1 Min Read
byDiana Britton, Managing Editor
logo in a gray background |
RPA
401(k) Real Talk Transcript for March 13, 2024
401(k) Real Talk Transcript for March 13, 2024
Mar 13, 2024
|
1 Min Read
byFred Barstein, The Retirement Adviser University,
RPA 401k Real Talk with Fred Barstein retirement news logo in a gray background | RPA 401k Real Talk with Fred Barstein retirement news
RPA
401(k) Real Talk Episode 97: March 13, 2024
401(k) Real Talk Episode 97: March 13, 2024
Mar 13, 2024
byFred Barstein, The Retirement Adviser University,
Rick-Kent-Kay-Lynn-Mayhue-Merit.jpg
RIA
Merit Buys $542M AUM Viren & Associates
Merit Buys $542M AUM Viren & Associates
Mar 13, 2024
|
1 Min Read
byAli Hibbs, Reporter
LPL Financial sign
Industry News & Trends
Advisor Claims LPL Ran a 'Classic Corporate Raid' On His Firm
Advisor Claims LPL Ran a 'Classic Corporate Raid' On His Firm
Mar 12, 2024
|
1 Min Read
byPatrick Donachie, Senior Reporter
Brian Pflaum LPL
Wirehouse
LPL Adds $345M Lincoln Financial Advisor
LPL Adds $345M Lincoln Financial Advisor
Mar 12, 2024
|
1 Min Read
byDiana Britton, Managing Editor
Ritik Malhotra, co-founder of Savvy Wealth RIA news
RIA
Savvy Goes Multicustodial, Grows to 15 Advisors
Savvy Goes Multicustodial, Grows to 15 Advisors
Mar 12, 2024
|
1 Min Read
byAli Hibbs, Reporter
Trenton Hazen Nepsis RPA RIA news
RIA
Nepsis Introduces Corporate Retirement Division
Nepsis Introduces Corporate Retirement Division
Mar 12, 2024
|
1 Min Read
byAli Hibbs, Reporter
osaic-city-scape.png
RIA
Ex-Osaic Employee Files Disability Discrimination Lawsuit Over COVID-19
Ex-Osaic Employee Files Disability Discrimination Lawsuit Over COVID-19
Mar 11, 2024
|
1 Min Read
byRob Burgess, Technology Reporter
reviewing-paperwork-illustration.jpg
RPA
The Dangers of Using an Inexperienced ERISA Auditor
The Dangers of Using an Inexperienced ERISA Auditor
Mar 11, 2024
|
1 Min Read
byFred Barstein, The Retirement Adviser University,
waverly-execs.jpeg
RIA
RIA Roundup: A Dozen Deals Bring Waverly to More Than $10B
RIA Roundup: A Dozen Deals Bring Waverly to More Than $10B
Mar 8, 2024
|
1 Min Read
byAli Hibbs, Reporter
SEC Chair Gary Gensler IAA Conference
Regulation & Compliance
ESG Advisor Disclosure Rule Could Follow Climate Rule 'Very Quickly'
ESG Advisor Disclosure Rule Could Follow Climate Rule 'Very Quickly'
Mar 8, 2024
|
1 Min Read
byPatrick Donachie, Senior Reporter
M&K Team RIA news
RIA
Sanctuary Adds $1B Breakaway from Stifel
Sanctuary Adds $1B Breakaway from Stifel
Mar 8, 2024
|
1 Min Read
byDiana Britton, Managing Editor
Expressive Wealth CEO Vanessa Martinez, CCO Lauren Genuardi RIA News
RIA
Three Female Advisors Launch Chicago RIA Focused on Inclusivity and Communication
Three Female Advisors Launch Chicago RIA Focused on Inclusivity and Communication
Mar 8, 2024
|
1 Min Read
byAli Hibbs, Reporter
IAA-Birdthistle-Bernstein.jpg
Regulation & Compliance
SEC’s AI Rule Could 'Weaken' Advisors’ Fiduciary Duty, IAA Attorney Argues
SEC’s AI Rule Could 'Weaken' Advisors’ Fiduciary Duty, IAA Attorney Argues
Mar 8, 2024
|
1 Min Read
byPatrick Donachie, Senior Reporter
XYPN co-founder Alan Moore RIA news XYPN Sapphire
RIA
XYPN Launches Corporate RIA With Six Inaugural Advisors
XYPN Launches Corporate RIA With Six Inaugural Advisors
Mar 7, 2024
|
1 Min Read
byAli Hibbs, Reporter
merger-money-handshake-illustration.jpg
RIA
Bluespring Merges Two RIAs to Create $1.4B Florida Hub
Bluespring Merges Two RIAs to Create $1.4B Florida Hub
Mar 7, 2024
|
1 Min Read
byDiana Britton, Managing Editor
Compound Founders Compound co-founders Gabe Krambs, Christian Haigh and Alex Farman-Farmaian RIA news
RIA
Compound Planning Adds 15 Advisors in First Weeks of 2024
Compound Planning Adds 15 Advisors in First Weeks of 2024
Mar 7, 2024
|
1 Min Read
byAli Hibbs, Reporter
FINRA HQ
Regulation & Compliance
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Key Record-Keeping Takeaways From FINRA’s 2024 Regulatory Oversight Report
Mar 7, 2024
|
1 Min Read
byHarriet Christie, Harriet Christie, Chief Operating Officer, MirrorWeb
Diamond Podcast for Financial Advisors Transition report
Career Moves
Diamond Podcast for Financial Advisors: Industry Update on Advisor Transitions and Deals
Diamond Podcast for Financial Advisors: Industry Update on Advisor Transitions and Deals
Mar 7, 2024
byJason Diamond, Louis Diamond
osaic-sign-ag.png
Industry News & Trends
Osaic Picks Up $360M Midwest Team From Cetera
Osaic Picks Up $360M Midwest Team From Cetera
Mar 7, 2024
|
1 Min Read
byDiana Britton, Managing Editor
Abby Salameh at the 2023 Wealthies Awards
RIA
Former CAIS CMO Abby Salameh Joins RFG Advisory
Former CAIS CMO Abby Salameh Joins RFG Advisory
Mar 7, 2024
|
1 Min Read
byAli Hibbs, Reporter
Mesirow Wealth Management CEO Brian Price RIA news
RIA
Mesirow Names Brian Price to Lead Wealth Management Business
Mesirow Names Brian Price to Lead Wealth Management Business
Mar 6, 2024
|
1 Min Read
byAli Hibbs, Reporter
Don Plaus Citibank
RIA
Former Merrill Lynch Exec Don Plaus to Resurface at Citi
Former Merrill Lynch Exec Don Plaus to Resurface at Citi
Mar 6, 2024
|
1 Min Read
byDiana Britton, Managing Editor
sec-seal-new.jpg
Regulation & Compliance
Navigating the Regulatory Tsunami for RIAs
Navigating the Regulatory Tsunami for RIAs
Mar 6, 2024
|
1 Min Read
byMazi Bahadori
Tifin_iStock-174072047.jpg
Insights & Analysis
Commodity Investing and the Importance of Index Methodology
Commodity Investing and the Importance of Index Methodology
Mar 6, 2024
logo in a gray background |
RPA
401(k) Real Talk Transcript for March 6, 2024
401(k) Real Talk Transcript for March 6, 2024
Mar 6, 2024
|
1 Min Read
byFred Barstein, The Retirement Adviser University,
RPA 401k Real Talk with Fred Barstein retirement news logo in a gray background | RPA 401k Real Talk with Fred Barstein retirement news
Retirement
401(k) Real Talk Episode 96: March 6, 2024
401(k) Real Talk Episode 96: March 6, 2024
Mar 6, 2024
byFred Barstein, The Retirement Adviser University,
Michelle Cannan Modern Wealth RIA News
RIA
Modern Wealth Launches Retirement Plan Business with $1.2B Acquisition
Modern Wealth Launches Retirement Plan Business with $1.2B Acquisition
Mar 6, 2024
|
1 Min Read
byAli Hibbs, Reporter

Latest news

iphone imessage text messaging
Client Relations
Left on Read: The Cost of Ignoring iMessage Compliance
The Cost of Ignoring iMessage Compliance

Feb 13, 2025

businessman adding piece to pie chart 401(k)s
RPA
Yes, Advisors Can Manage Their Clients’ 401(k) Accounts
Yes, Advisors Can Manage Their Clients’ 401(k) Accounts

Feb 13, 2025

Kabir Sethi
Artificial Intelligence
Kabir Sethi Joins Board Of AI Startup Zeplyn
Kabir Sethi Joins Board Of AI Startup Zeplyn

Feb 13, 2025

Sign Up for Newsletters
Sign up to receive the latest insights, trends, and analysis.
CE Webinars
View more
Apr 1 - Apr 2, 2025
Learn from top leaders tackling growth, pay, and personnel challenges daily.
Learn More

Trusts & Estates Magazine

Trusts Estates February 2025
Read More

Latest Digital Edition

Trusts & Estates: February 2025 Digital Edition

Feature on Ultra-High-Net-Worth Families & Family Offices