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Industry News & Trends
LPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest SuitLPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest Suit

Ameriprise sued the IBD and several former employees last week, claiming the reps who left solicited clients and took confidential information, violating the Protocol for Broker Recruiting.

byPatrick Donachie, Senior Reporter
Feb 18, 2025
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3 Min Read
funds graph
Alternative Investments
Third Wire Launches Novel Private Markets 506(c) FundThird Wire Launches Novel Private Markets 506(c) Fund
byDavid Bodamer
Feb 18, 2025
3 Min Read
FINRA HQ
Regulation & Compliance
Broker Claims FINRA’s Testimony Demands Violate Constitutional RightsBroker Claims FINRA’s Testimony Demands Violate Constitutional Rights
byPatrick Donachie
Feb 18, 2025
3 Min Read
Creative Planning HQ
M&A
Creative Planning Picks Up $290M California RIACreative Planning Picks Up $290M California RIA
byDiana Britton
Feb 18, 2025
1 Min Read
independent crew
RIA
$1.6B RIA and Trust Company to Split from Bank Parent$1.6B RIA and Trust Company to Split from Bank Parent
byAlex Ortolani
Feb 14, 2025
2 Min Read
Department of Labor sign DOL fiduciary rule
Regulation & Compliance
DOL Puts Fiduciary Rule on HoldDOL Puts Fiduciary Rule on Hold
byDiana Britton
Feb 14, 2025
2 Min Read
Marwa Zakharia AssetBook
Support Platforms
AssetBook CEO Marwa Zakharia Steps Down
AssetBook CEO Marwa Zakharia Steps Down
Feb 14, 2025
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1 Min Read
byDiana Britton, Managing Editor
David Canter
Investing Strategies
David Canter Joins Green Investment Company
David Canter Joins Green Investment Company
Feb 14, 2025
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1 Min Read
byDiana Britton, Managing Editor
Morningstar sign
WealthTech
WealthStack Roundup: The End For Morningstar Office
WealthStack Roundup: The End For Morningstar Office
Feb 14, 2025
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2 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
Hightower office
RIA
Hightower CEO Change Could Signal Next Phase of RIA's Growth
Hightower CEO Change Signals Next Phase of Growth
Feb 14, 2025
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4 Min Read
byAlex Ortolani, Senior Reporter
RIA
Deals & Moves: LPL, Ameriprise Add Advisors Amid Mounting Legal Disputes
Deals & Moves: LPL, Ameriprise Add Advisors
Feb 14, 2025
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4 Min Read
byAlex Ortolani, Senior Reporter
stock market trader screens ETFs
ETFs
Fidelity: Advisors Continue to Gravitate to Active ETFs
Fidelity: Advisors Continue to Gravitate to Active ETFs
Feb 13, 2025
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2 Min Read
byDavid Bodamer, Executive Editor, Investments
businessman with briefcase walking up steps advisor growth
RIA
Cerulli: Independent RIAs to Outpace All Other Channels by 2028
Cerulli: Independent RIAs to Grow 4% Through 2028
Feb 13, 2025
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3 Min Read
byAlex Ortolani, Senior Reporter
Satayan Mahajan, CEO, Datalign Advisory
Artificial Intelligence
Link Ventures Invests Another $5M In Prospecting Platform Datalign Advisory
Datalign Advisory Raises $5M More From Link Ventures
Feb 13, 2025
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3 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
Kabir Sethi
Artificial Intelligence
Kabir Sethi Joins Board Of AI Startup Zeplyn
Kabir Sethi Joins Board Of AI Startup Zeplyn
Feb 13, 2025
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2 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
Robinood app phone
WealthTech
Robinhood Revenue Doubles, Fueled by Surge in Crypto Trading
Robinhood Revenue Doubles, Fueled by Crypto Trading
Feb 12, 2025
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2 Min Read
byPaige Smith
CFPB office HQ
Regulation & Compliance
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question
CFPB Disarray Puts Future Fintech, Bank Oversight Into Question
Feb 12, 2025
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3 Min Read
byPaige Smith
charles schwab branch
Equities
Charles Schwab Expands 24-Hour Trading to All Its Retail Clients
Schwab Expands 24-Hour Trading to All Retail Clients
Feb 12, 2025
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2 Min Read
byGeorgia Hall, Bloomberg
Peter Crawford CD&R
Career Moves
CD&R Hires Former Schwab CFO to Guide Wealth Portfolio
CD&R Taps Ex-Schwab CFO for Wealth Investments
Feb 12, 2025
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2 Min Read
byAlex Ortolani, Senior Reporter
estate plan file
Estate Planning
Pennsylvania Court Rules Beneficiaries Can’t Unilaterally Change Trust’s Situs
Pennsylvania Court Rules Beneficiaries Can’t Unilaterally Change Trust’s Situs
Feb 12, 2025
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2 Min Read
byDavid A. Handler, Alison E. Lothes
Peter Nesvold SignatureFD
RIA
SignatureFD Adds M&A Vet Peter Nesvold to Board
SignatureFD Adds M&A Vet Nesvold to Board
Feb 12, 2025
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3 Min Read
byAlex Ortolani, Senior Reporter
Larry Restieri and Bob Oros Hightower
Career Moves
Hightower CEO Bob Oros To Step Down
Hightower CEO Bob Oros To Step Down
Feb 11, 2025
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2 Min Read
byPatrick Donachie, Senior Reporter
empty office chairs
Industry News & Trends
McKinsey Estimates Advisor Shortage of 100,000 by 2034
McKinsey Estimates Advisor Shortage of 100,000 by 2034
Feb 11, 2025
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3 Min Read
byDiana Britton, Managing Editor
stock market model portfolios
Investing Strategies
Morningstar: Advisor Use of Custom Model Portfolios Rises
Advisor Use of Custom Model Portfolios Rises
Feb 11, 2025
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2 Min Read
byDavid Bodamer, Executive Editor, Investments
Chris Lex Carmen Lex
RIA
Brothers Launch New RIA with LPL; Bluespring Adds Independent RIA
LPL, Bluespring Make RIA Additions
Feb 11, 2025
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2 Min Read
byAlex Ortolani, Senior Reporter
Acting SEC Chair Mark Uyeda
Regulation & Compliance
Acting SEC Chairman Pauses Legal Defense of Climate Rule
Acting SEC Chairman Pauses Legal Defense of Climate Rule
Feb 11, 2025
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3 Min Read
byPatrick Donachie, Senior Reporter
dollars graph Private equity RIAs
RIA
Fidelity: PE Fueled Record 89% of RIA Deals in 2024
Fidelity: PE Fuels Record 89% of RIA Deals
Feb 11, 2025
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3 Min Read
byAlex Ortolani, Senior Reporter
Peakline Partners Bill Rudnick, executive managing director
Alternative Investments
Private Markets Investments Firm Cresset Partners Rebrands as Peakline Partners
Cresset Partners Investment Firm Rebrands as Peakline Partners
Feb 11, 2025
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1 Min Read
byAlex Ortolani, Senior Reporter
Kathy Wunderi Wealth.com
Career Moves
Top Hollywood Attorney Joins Wealth.com’s Legal Team
Top Hollywood Attorney Joins Wealth.com’s Legal Team
Feb 11, 2025
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1 Min Read
byPatrick Donachie, Senior Reporter
Robert Sofia Snappy Kraken
Marketing
Snappy Kraken Launches AI-backed RIA Enterprise Hub
Snappy Kraken Launches AI-Backed Enterprise Hub
Feb 11, 2025
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2 Min Read
byAlex Ortolani, Senior Reporter
Hershey Wealth Advisors Merit Financial
RIA
Merit Acquires $233M Pennsylvania RIA From Osaic
Merit Acquires $233M RIA In Pennsylvania
Feb 11, 2025
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3 Min Read
byAlex Ortolani, Senior Reporter
U.S. Supreme Court building
Regulation & Compliance
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Broker Uses Recent Supreme Court Decisions In Case Against FINRA
Feb 10, 2025
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5 Min Read
byPatrick Donachie, Senior Reporter
Sugarloaf Wealth Management Principal Jason Connolly Prime Capital Financial
RIA
Prime Capital Gains Foothold in Atlanta with $1B RIA
Prime Capital Adds 1B Atlanta RIA
Feb 10, 2025
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1 Min Read
byAlex Ortolani, Senior Reporter
Kristen Larson Sanctuary Wealth breakaway UBS
RIA
$200M Advisor Leaves UBS to Go Independent with Sanctuary
Sanctuary Lands New $200M Minneapolis RIA
Feb 10, 2025
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2 Min Read
byAlex Ortolani, Senior Reporter
Mariner Wealth Advisors CEO Marty Bicknell
RIA
Mariner to Add 250 Senior Wealth Advisors in Major Recruiting Push
Mariner Recruiting for 250 Senior Wealth Advisors
Feb 10, 2025
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2 Min Read
byAlex Ortolani, Senior Reporter

Latest news

LPL Sign
Industry News & Trends
LPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest Suit
LPL Accuses Ameriprise of “Chasing Headlines” In Response to Latest Suit

Feb 18, 2025

funds graph
Alternative Investments
Third Wire Launches Novel Private Markets 506(c) Fund
Third Wire Launches Novel Private Markets 506(c) Fund

Feb 18, 2025

FINRA HQ
Regulation & Compliance
Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights
Broker Claims FINRA’s Testimony Demands Violate Constitutional Rights

Feb 18, 2025

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