Historically, the economics of RIA custody rested on three main pillars: Ticket charges on trades, various revenue sharing ...

Founder Rick Kent moves to executive chairman, and Zach Mersberger has been named president of the $33 billion hybrid-RIA.

New C-suite hire lands days after a $1.65 billion loan refinancing, as the $111 billion mega-RIA continues to build out its ...

The Securities and Exchange Commission (SEC) alleges a Texas-based fund operator raised $9.6 million - and never bought a ...

The Torrance, Califronia-based RIA names John McConnell CFO and promotes Erin Voisin as it builds out leadership after a run of acquisitions.

Texas securities regulators initially accused Lasater RE Fund of fraud in June but later dropped those claims.

Research released by Vanguard at Future Proof found that while AI adoption is widespread, advisors are mainly using the ...

The Osaic-acquired broker-dealer failed to catch reps steering 295 clients into costly early UIT sales, regulator finds.

Cornerstone Advisors and Clear Pointe Wealth Management mark an unusual double-team addition for LPL as recruiting run ...

As we move into 2026, the fintech landscape is undergoing one of its most pivotal shifts in a decade — and AI is at the center of the disruption. After a year marked by headline‑grabbing AI ...

Winstone Wealth Partners joins Concurrent from Raymond James, pushing the RIA platform's assets past $23 billion this year.

Composition Wealth, the Los Angeles-based registered investment advisor, has appointed Gabrielle Glemann as general counsel and chief compliance officer and Joe Salcido as head of advisors. The dual ...