FPA taps Wealth Enhancement Group’s Brahim as president-elect
Brahim's 'leadership has been felt at all levels of the association,' says the 2023 FPA president, James Lee.
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Making a business out of succession planning
Former RIA owner is on a mission to help make financial services less male, white and straight.
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Mastering technology to serve more clients
With the advisor shortfall, firms will have to get more accomplished by leveraging tech.
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New Jersey chooses Vestwell to administer retirement savings program
Its plan, which will be rolled out in 2024, is the seventh state auto-IRA to partner with the digital record keeper.
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RIA firm to pay $18M+ after SEC financial conflicts charges
Regulator says multiple conflicts were not disclosed over 5-year period.
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Wealth management firms to merge into $750M powerhouse
The two established RIA firms have a combined reach across 40 states.
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Most Americans have burnt through their pandemic savings
Only the wealthiest 20% have greater cash savings than pre-Covid.
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BlackRock says insurers plan to boost private debt and credit
But the $29 trillion industry will pull back from PE and real estate.
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UBS wants court to erase $1.9B asset-hiding fine
The asset manager is appealing its conviction for helping wealthy clients with cross-border cash moves.
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70M could become digital nomads in the next few years
Digital nomad visas are expanding as countries vie for talent.
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Morgan Stanley banker to retire after $850B in real estate deals
Guy Metcalf has been with the Wall Street firm for 33 years.
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Billionaire plans $50M auction for rare 1982 Château Petrus
"The market for the rarest and most exclusive bottles remains strong," says Sotheby's executive.
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Trump guilty of financial, insurance fraud
Former president loses New York lawsuit as judge describes 'fantasy world.'
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Advisors give here-we-go-again shrug to potential government shutdown
'It feels like déjà vu,' says one advisor. 'This is what they do every time.' The SEC would have to furlough the vast majority of its staff, bringing enforcement and exams almost to a halt.
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JPMorgan pays $75M to settle US Virgin Islands suit over Epstein ties
The firm also reached a confidential agreement with former executive Jes Staley.
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Berkshire engineering firm gets reprieve in 401(k) suit
Law firm Capozzi Adler has three weeks to file an amended complaint after a judge grants a motion to dismiss.
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Wealthspire reels in $6B in assets with GM Advisory purchase
This is Wealthspire's third deal for a registered investment advisory firm of 2023.
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Balancing centralization and autonomy in a growing RIA
For many growing RIAs, the way to achieve scalability is to have a robust centralized support system in place,
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$500M Louisiana team joins Raymond James
The five advisors will operate as Meyer Rotolo Wealth Management.
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‘Cash Flow King’ podcast host charged with running $11M Ponzi scheme
Matthew Motil is accused by the SEC of fraudulently raising money from investors.
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