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Industry News & Trends

LPL Adds $16B From Wintrust Financial Corp.LPL Adds $16B From Wintrust Financial Corp.

Wintrust will move two businesses and 85 advisors to the LPL Institution Services platform from Wells Fargo.

byAli Hibbs, Reporter

Feb 23, 2024

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1 Min Read

Erik Karanik Wells Fargo

Wells Fargo Names New Growth Head for Independent Businesses Wells Fargo Names New Growth Head for Independent Businesses

byDiana Britton

Feb 23, 2024

1 Min Read

Kingswood SPAC Deal With Wentworth Gets Three-Week Extension Kingswood SPAC Deal With Wentworth Gets Three-Week Extension

byDiana Britton

Feb 22, 2024

1 Min Read

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Allianz, Constellation Wealth to Buy $450M Stake in AlTi Global Allianz, Constellation Wealth to Buy $450M Stake in AlTi Global

Feb 22, 2024

1 Min Read

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The Opportunity for Advisor Growth in the Retirement Market The Opportunity for Advisor Growth in the Retirement Market

byB.J. Feller and Nick O’Brien

Feb 22, 2024

1 Min Read

Gün Keresteci Mercer Advisors CFO RIA news

Mercer Global Advisors Hires CFO From McKinsey Mercer Global Advisors Hires CFO From McKinsey

byDiana Britton

Feb 22, 2024

1 Min Read

Diamond Podcast for financial advisors. Top tips for advisors before making a move

Diamond Podcast for Financial Advisors: Tips for Setting Your Business Up for Success Years Before a Move

Diamond Podcast for Financial Advisors: Tips for Setting Your Business Up for Success Years Before a Move

byMindy Diamond, Louis Diamond

Robert Seiden RIA 1099 platform Stonebridge

Stonebridge Financial Group’s New RIA Lands Its First Advisor

Stonebridge Financial Group’s New RIA Lands Its First Advisor

byPatrick Donachie, Senior Reporter

Industry News & Trends

Another Advisor Moves to LPL Financial from Osaic

Another Advisor Moves to LPL Financial from Osaic

byPatrick Donachie, Senior Reporter

401(k)s Will Be Gone Within a Decade

401(k)s Will Be Gone Within a Decade

byAllison Schrager

San Diego Trio Creates Family Trust-Backed RIA

San Diego Trio Creates Family Trust-Backed RIA

byAli Hibbs, Reporter

The Healthy Advisor Podcast with Diana Britton

The Healthy Advisor: What Makes Advisors Happy With Michael Kitces

The Healthy Advisor: What Makes Advisors Happy With Michael Kitces

byDiana Britton, Managing Editor

401(k) Real Talk Transcript for February 21, 2024

401(k) Real Talk Transcript for February 21, 2024

byFred Barstein, The Retirement Adviser University,

401(k) Real Talk Episode 94: February 21, 2024

401(k) Real Talk Episode 94: February 21, 2024

byFred Barstein, The Retirement Adviser University,

Carolyn Armitage RIA news

Carolyn Armitage Launches Consulting Firm for Wealth Management CEOs

Carolyn Armitage Launches Consulting Firm for Wealth Management CEOs

byDiana Britton, Managing Editor

Awakening of 401(k) Plan Sponsors Creating Massive Change

Awakening of 401(k) Plan Sponsors Creating Massive Change

byFred Barstein, The Retirement Adviser University,

Edelman Financial Engines

Industry News & Trends

Court Gives Go-Ahead for Edelman’s Suit Against Mariner Wealth

Court Gives Go-Ahead for Edelman’s Suit Against Mariner Wealth

byPatrick Donachie, Senior Reporter

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Insights & Analysis

Golden Era for Credit: Floating-Rate Market Opportunities for 2024

Golden Era for Credit: Floating-Rate Market Opportunities for 2024

Tim Oden Charles Schwab

Dynasty Hires Schwab's Tim Oden as 'Executive-in-Residence'

Dynasty Hires Schwab's Tim Oden as 'Executive-in-Residence'

byDiana Britton, Managing Editor

Snowden Lane Team Leaves to Launch Florida RIA

Snowden Lane Team Leaves to Launch Florida RIA

byAli Hibbs, Reporter

Regulation & Compliance

TIAA-CREF Settles SEC Charges Over Reg BI Violations for $2.2M

TIAA-CREF Settles SEC Charges Over Reg BI Violations for $2.2M

byDiana Britton, Managing Editor

RIA Roundup: Painter, Smith & Amberg Joins Prospera with $650M

RIA Roundup: Painter, Smith & Amberg Joins Prospera with $650M

byAli Hibbs, Reporter

David Solomon

Goldman Boosts CEO Solomon’s Pay 24% After Firm’s Profit Slumps 24%

Goldman Boosts CEO Solomon’s Pay 24% After Firm’s Profit Slumps 24%

bySridhar Natarajan

Dan Parant Vista Equity

Vista Equity Hires KKR’s Parant to Further Private Wealth Push

Vista Equity Hires KKR’s Parant to Further Private Wealth Push

Greykasell Wealth Strategies founder David Eisenhauer RIA news

Former Northwestern Mutual Advisor Launches Indie RIA

Former Northwestern Mutual Advisor Launches Indie RIA

byAli Hibbs, Reporter

Sponsored Content

The Future is All About Process Improvement

The Future is All About Process Improvement

Choreo RIA news

$24B Choreo Hiring Growth, Practice Management Coaches

$24B Choreo Hiring Growth, Practice Management Coaches

byDiana Britton, Managing Editor

Cetera Financial building IBD

Industry News & Trends

Cetera OSJ Snags $312M Team From LPL Financial

Cetera OSJ Snags $312M Team From LPL Financial

byDiana Britton, Managing Editor

Diamond Podcast for Financial Advisors Bob Thorton Megan Whalen Summit Partners RIAs

The Diamond Podcast for Financial Advisors: Former First Republic Head Launches RIA with Backing from Summit Partners

The Diamond Podcast for Financial Advisors: Former First Republic Head Launches RIA with Backing from Summit Partners

byMindy Diamond, Columnist: Career Moves

Pathstone CEO Matt Fleissig and Crestone CEO/CIO Eric Kramer RIA news

Pathstone to Buy $3.65B Crestone Capital

Pathstone to Buy $3.65B Crestone Capital

byAli Hibbs, Reporter

Q&A: Jamie Hopkins to Bring Tech-Savvy Trustee Services to RIAs

Q&A: Jamie Hopkins to Bring Tech-Savvy Trustee Services to RIAs

byAli Hibbs, Reporter

U.S. Department of Labor sign

Regulation & Compliance

The DOL’s Independent Contractor Rule and the Law of Unintended Consequences

The DOL’s Independent Contractor Rule and the Law of Unintended Consequences

byJeff Nash, CEO and co-founder, Bridgemark Strategies

Doris Meister Wilmington Trust

Wilmington Trust CEO to Exit $79 Billion Wealth Manager

Wilmington Trust CEO to Exit $79 Billion Wealth Manager

byLyla Du and Sridhar Natarajan

Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule

Regulation & Compliance

Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule

Investor Advocates Press Congress to Resist 'Industry Efforts' to Derail Fiduciary Rule

byPatrick Donachie, Senior Reporter

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The Power of Mindset to Enhance Your Wealth Management Business

The Power of Mindset to Enhance Your Wealth Management Business

byJason Diamond, Vice President, Senior Consultant