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RIA
Allworth Pens First Two Deals of 2024, Adding $621MAllworth Pens First Two Deals of 2024, Adding $621M

Allworth has acquired Tridea Advisors, a local RIA with $341 million in assets, and Capital Point Financial Group, a Glenview, Ill.- and Sarasota, Fla.-based firm with $280 million in assets.

byDiana Britton, Managing Editor
Jan 23, 2024
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1 Min Read
Who Wants to Be a Trillionaire?
Industry News & Trends
Who Wants to Be a Trillionaire?Who Wants to Be a Trillionaire?
byTyler Cowen (Bloomberg)
Jan 22, 2024
1 Min Read
jp-morgan-entrance.jpg
Regulation & Compliance
J.P. Morgan Accuses Michigan Advisor Of Soliciting Clients After Jump to KestraJ.P. Morgan Accuses Michigan Advisor Of Soliciting Clients After Jump to Kestra
byPatrick Donachie
Jan 22, 2024
1 Min Read
merger
RPA
Is the Party Over for the RPA M&A Market?Is the Party Over for the RPA M&A Market?
byFred Barstein
Jan 22, 2024
1 Min Read
RIA Roundup: Aptus Capital Buys LibertyFi
RIA
RIA Roundup: Aptus Capital Buys LibertyFiRIA Roundup: Aptus Capital Buys LibertyFi
byAli Hibbs
Jan 19, 2024
1 Min Read
Citi sign
Regulation & Compliance
DOJ Charges Former Citi Advisor With Defrauding Clients While Funding Film CareerDOJ Charges Former Citi Advisor With Defrauding Clients While Funding Film Career
byPatrick Donachie
Jan 18, 2024
1 Min Read
robinhood-app-phone-2.jpg
Regulation & Compliance
Robinhood Pays $7.5M To Settle Massachusetts "Gamification" Charge
Robinhood Pays $7.5M To Settle Massachusetts "Gamification" Charge
Jan 18, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
transaction or merger
RIA
RIA Roundup: Rockefeller Snags 26 from Merrill Lynch
RIA Roundup: Rockefeller Snags 26 from Merrill Lynch
Jan 18, 2024
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1 Min Read
byAli Hibbs, Reporter
Most Advisors Lukewarm Toward SEC-Approved Spot Bitcoin ETFs
Industry News & Trends
Most Advisors Lukewarm Toward SEC-Approved Spot Bitcoin ETFs
Most Advisors Lukewarm Toward SEC-Approved Spot Bitcoin ETFs
Jan 18, 2024
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1 Min Read
byRob Burgess, Diana Britton
captrust
RIA
Captrust Buys $770M Engrave Wealth in Houston
Captrust Buys $770M Engrave Wealth in Houston
Jan 18, 2024
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1 Min Read
byAli Hibbs, Reporter
The Healthy Advisor Podcast with Diana Britton
RIA
The Healthy Advisor: The Year of Health with Tina Powell
The Healthy Advisor: The Year of Health with Tina Powell
Jan 17, 2024
byDiana Britton, Managing Editor
Edelman Financial Engines
Industry News & Trends
Edelman Presses Court to Let Suit Against Mariner Continue
Edelman Presses Court to Let Suit Against Mariner Continue
Jan 17, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
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RIA
Constellation Wealth Capital Adds Lido Advisors to Growing Portfolio
Constellation Wealth Capital Adds Lido Advisors to Growing Portfolio
Jan 17, 2024
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1 Min Read
byAli Hibbs, Reporter
Shred quarterly statements once the annual summary arrives Maintain annual summaries until the account is closednbspGaryPhotoiStockThinkstock
RPA
Can 401(k) Plan Fees Fall to Zero?
Can 401(k) Plan Fees Fall to Zero?
Jan 17, 2024
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1 Min Read
byFred Barstein, The Retirement Adviser University,
handcuffs money
Career Moves
Retire-in-Place Programs: Gift or Golden Handcuffs?
Retire-in-Place Programs: Gift or Golden Handcuffs?
Jan 17, 2024
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1 Min Read
byJason Diamond, Vice President, Senior Consultant
DOL sign
Regulation & Compliance
FSI Fights Back Against DOL's Independent Contractor Rule
FSI Fights Back Against DOL's Independent Contractor Rule
Jan 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
deflated hot air balloon
RIA
Echelon: RIA M&A Fell in 2023
Echelon: RIA M&A Fell in 2023
Jan 16, 2024
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1 Min Read
byAli Hibbs, Reporter
Mimi-Amy-Tyler-Taylor.jpg
RIA
Merrill Lynch Team Breaks Away to Launch RIA Steadmont Advisors
Merrill Lynch Team Breaks Away to Launch RIA Steadmont Advisors
Jan 16, 2024
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1 Min Read
byAli Hibbs, Reporter
Karl_Heckenberg (1).jpeg
RIA
Constellation Stakes Perigon Wealth
Constellation Stakes Perigon Wealth
Jan 16, 2024
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1 Min Read
byAli Hibbs, Reporter
jp-morgan-entrance.jpg
Regulation & Compliance
SEC Alleges J.P. Morgan Tried To Prevent Clients From Whistleblowing
SEC Alleges J.P. Morgan Tried To Prevent Clients From Whistleblowing
Jan 16, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
Oracle Private Wealth.JPG
RIA
Oracle Private Wealth Joins Summit Financial
Oracle Private Wealth Joins Summit Financial
Jan 16, 2024
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1 Min Read
byAli Hibbs, Reporter
Jim Nagengast Securities America
RIA
Nagengast Departure a Sign of More to Come?
Nagengast Departure a Sign of More to Come?
Jan 13, 2024
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1 Min Read
byDiana Britton, Managing Editor
MAI_Office.jpg
RIA
RIA Roundup: MAI Picks Up $1.4B RIA in Cincinnati
RIA Roundup: MAI Picks Up $1.4B RIA in Cincinnati
Jan 12, 2024
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1 Min Read
byAli Hibbs, Reporter
Ashton Thomas
RIA
Arax Acquires $1B IBD; Recruits $2B Alex. Brown Team
Arax Acquires $1B IBD; Recruits $2B Alex. Brown Team
Jan 11, 2024
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1 Min Read
byDiana Britton, Managing Editor
Laird Norton Weatherby CEO Kristen Bauer rebranding marketing RIA news
RIA
Laird Norton and Wetherby Unite Under Single Brand
Laird Norton and Wetherby Unite Under Single Brand
Jan 11, 2024
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1 Min Read
byAli Hibbs, Reporter
John Pierce Cetera RIA news advisor recruiting
RIA
Cetera Head of Recruiting John Pierce to Depart Firm
Cetera Head of Recruiting John Pierce to Depart Firm
Jan 11, 2024
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1 Min Read
byDiana Britton, Managing Editor
Brandon Corso RIA news Advisor news
RIA
Baird Recruits Edelman Advisor Managing More than $500M
Baird Recruits Edelman Advisor Managing More than $500M
Jan 11, 2024
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1 Min Read
byAli Hibbs, Reporter
U.S. Rep. Brad Sherman DOL fiduciary rule
Regulation & Compliance
Top House Democrat Seeks More Clarity on DOL Fiduciary Rule
Top House Democrat Seeks More Clarity on DOL Fiduciary Rule
Jan 11, 2024
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1 Min Read
byPatrick Donachie, Senior Reporter
AllianceBernstein CFO June Marks
RIA
AllianceBernstein Names Jackie Marks CFO
AllianceBernstein Names Jackie Marks CFO
Jan 11, 2024
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1 Min Read
byAli Hibbs, Reporter
diamond-podcast-2023-Recap-Promo.jpg
Career Moves
The Diamond Podcast for Financial Advisors: 2023’s Most Valuable Insights
The Diamond Podcast for Financial Advisors: 2023’s Most Valuable Insights
Jan 11, 2024
byLouis Diamond, Jason Diamond
MarshBerry Webinar_082323_GettyImages-1155141053.jpg
Insights & Analysis
The 2023 RIA Edge Study: The Secrets to Unlocking Growth and Ongoing Success
The 2023 RIA Edge Study: The Secrets to Unlocking Growth and Ongoing Success
Jan 11, 2024
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1h 4m View
faces-heads-abstract-illustration-diversity.jpg
Estate Planning
Live from Heckerling: Increasing Diversity in Estate Planning, One Year Later
Live from Heckerling: Increasing Diversity in Estate Planning, One Year Later
Jan 11, 2024
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1 Min Read
bySusan R. Lipp - Moderator, Editor in Chief
Avise Financial co-founders Katrina Soelter and Leighann Miko RIA co-op
RIA
Avise Financial, A Technology And Services Co-Op For Advisors, Launches
Avise Financial, A Technology And Services Co-Op For Advisors, Launches
Jan 11, 2024
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1 Min Read
byRob Burgess, Technology Reporter
Realta Wealth COO Mark Helliker
RIA
Realta Wealth Hires New COO
Realta Wealth Hires New COO
Jan 11, 2024
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1 Min Read
byDiana Britton, Managing Editor
AmeriFlex CEO Tom Goodson
RIA
The AmeriFlex Group Breaks Record with 60 Recruits, $2.75B in Assets in 2023
The AmeriFlex Group Breaks Record with 60 Recruits, $2.75B in Assets in 2023
Jan 11, 2024
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1 Min Read
byAli Hibbs, Reporter

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