Orion leans into fintech flexibility with new offerings
The wealth tech giant is helping firms “do business as they see fit” with two new additions, including a standalone trading solution launching later this summer.
Critics question Finra as watchdog’s caseload plunges
Enforcement actions hit an all-time low last year while fines plummeted to half of 2016 haul, raising doubts about its effectiveness.
Advisors’ shuffle away from cash reaches its fifth year
Advyzon research reveals steady decline in advisors’ cash allocations, along with ETFs’ decisive victory over mutual funds.
SEC’s investor advocate warns of previously impossible scale and complexity of fraud
Office of the Investor Advocate delivers FY2025 priorities report to Congress.
Morgan Stanley’s Open AI-powered solution for advisors has expanded
Wall Street firm says advisor adoption of its solution is 98%.
Ether, Solana overshadowing Bitcoin as ETFs approach
SEC expected to give full approval to new crypto funds.
Snowden Lane lands $1B powerhouse advisor from Morgan Stanley
With 24 years of experience, including a lengthy stay at Goldman Sachs, the seasoned veteran is joining the fast-growing independent in Florida.
What’s the deal with DIY investing?
An increase in retail investors over the last four years begs the question: what’s makes it so popular? Advisors weigh in.
Nvidia CEO Huang’s multibillion-dollar charitable windfall puts philanthropic strategy in focus
The AI superstock's blistering rally has inflated his private foundation's assets, making it harder to clear a key legal threshold.
Former head of Osaic B-D lands at AssetMark
"Having relationships with financial advisors is one of the greatest assets these senior executives possess," said one industry official.
Expect ETF growth to continue on gale-force retail tailwinds, says Cerulli
Report shows $4.3T ETF haul in retail financial advisor channels, with even larger allocations by 2025 as model portfolios unlock opportunities.
How fast-growing advisors get clients to give referrals
Asking clients why they're satisfied helps advisors plant stories that lead to referrals, a report from Capital Group found.
New fiscal spending bill threatens DOL fiduciary rule
The proposed legislation governing funds for fiscal year 2025 would hamper the agency’s ability to administer, implement, or enforce the rule.
Stocks may seem serene, but watch out for these risks
There is nary a bear in sight, yet advisors need to take geopolitical worries into account, says a Wellington-Altus stategist.
Supreme Court dampens SEC’s use of in-house courts
The conservative majority decision nullifying a nearly $1M penalty could hamper the regulator's power to extract high-dollar settlements.
LPL adds former baseball pro to Momentum Wealth bench
The pitcher-turned-wealth manager is part of a $380M advisor team in Delaware that’s joining LPL from PNC Investments.
For advisors, automation and multi-custodian relationships are keys to growth
Building client relationships, cost containment, and high interest-earning cash accounts a priority for most wealth firms, reveals survey.
