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SEC bars RIA chief compliance officer previously found guilty of fraud
Jennifer Campbell was office manager and chief compliance officer for a registered investment advisor in Buffalo, New York.
Stratos Wealth adds advisor managing $250 million
Robert Hamer is joining Stratos from Asset Management Group.
Execs call for mandatory reporting of employee well-being metrics
Some 85% of C-suite executives believe that organizations should require mandatory reporting of well-being metrics, according to a study.
Alternativ raises $10 million as digitally native RIAs pick up steam
The funding will be used to continue developing the firm's technology and to grow its RIA, Alternativ Wealth, through acquisitions.
Carson Group adds $5 billion Northwest Capital Management
The firm, with offices in Portland, Oregon, and Seattle, offers both wealth management and retirement plan services.
ETF designed to climb along with interest rates adjusts in stride with Fed
FolioBeyond's Rising Rates ETF is being renamed the Alternative Income and Interest Rate Hedge ETF.
Finra suspends financial advisor facing child sex charge
Thomas Vernor is based in Huntsville, Alabama, and started in the securities industry in 1984 at Morgan Stanley Dean Witter.
More than just a number
Pay equity in the advisory industry might seem like a straightforward proposition. It isn’t.
BlackRock bitcoin ETF has crypto fans wondering about change of course at SEC
Given the three dozen others that have filed for a bitcoin ETF without success, ETF watchers are wondering if BlackRock has an inside track to gain approval.
Cetera CEO Antoniades: ‘I’m not going anywhere’
Regardless, plenty of questions remain about the future of the long-time Cetera executive.
Merit Financial adds LPL veteran Andy Kalbaugh to its board
Kalbaugh will work with the fast-growing wealth management firm's executive leadership on strategic planning.
New iCapital platform gives advisors turnkey access to alternative investments
Marketplace combines hundreds of existing platforms run by providers of alternative investments into a single network.
Fidelity bulks up its ‘disruptor’ suite with 6 new thematic ETFs
The asset manager is banking on financial advisors' growing interest in targeted investment strategies.
New bull market doesn’t take recession off the table
Market watchers warn against falling for the head fake of a tech-driven stock market that isn't accurately reflecting broader economic risks.
ETF niche players combine to form nearly $8 billion suite of specialty funds
Amplify ETFs is acquiring the assets of ETF Managers Group, bringing under one roof funds that offer exposure to marijuana, blockchain, artificial intelligence and more.
$1.7 billion team exits Avidian to form new RIA affiliated with Hightower
Houston-based Presidio Wealth Partners is leaving with nearly half of Avidian's $4 billion in assets and aspires to reach $5 billion in five years.
Wealthspire acquires $1 billion firm to expand in the Atlantic region
Based in Richmond, Virginia, ACG Wealth Management offers investment management, qualified plans, tax strategies and third-party administrator services.
Former SEC Chair Clayton makes case for democratizing alternative investments
Clayton took a swipe at the current leadership of the Securities and Exchange Commission for swinging too far in the wrong direction.
Pershing X moves into the fintech lane with new Wove platform
The multicustodial open architecture platform promises to connect the various applications advisors use to service clients.
Cetera continues RIA push with purchase of $1.45 billion Kansas firm
At the end of April, The Retirement Planning Group had 14 advisors and 40 employees.
