SEC Approves Big Boost to Asset Threshold for Small Advisors
By Melanie WaddellThe level at which advisors are treated as small entities has been raised from $25 million to $1 billion.
November 03, 2026
6 Top Ways to Serve HNW ClientsWinning with this cohort, AssetMark research finds, requires broader capabilities, efficient operating models and next-gen engagement.
November 03, 2026
$1B Beacon Financial Joins Osaic's Empowered Indie ChannelCindy Hamel, an Osaic executive, says this affiliation arrangement gives advisors a framework for long-term succession planning.
November 03, 2026
How Hightower CEO Larry Restieri Is Driving Its 'Volkswagen Model'The aim is "to have different brands within our broader structure," the RIA executive said.
November 02, 2026
RIAs Fall Short in Developing Junior Advisors: StudyFirms closing that gap, DeVoe reports, will keep their best people, drive organic growth and manage leadership transition with confidence.
November 02, 2026
Savvy Wealth Launches Private Markets ProgramAdvisor demand, exec Anshul Sharma says, prompted the firm's interest in addressing this investment strategy.
November 02, 2026
SEC Fines United Planners $600K Over Leveraged ETF Sales to ElderlyThe firm and Cary Urich, a former rep, caused 54 advisory clients to lose 70% of their investments.
November 02, 2026
8 Fastest Growing Independent Wealth RIAs: $10B and UpThese firms have benefited from market gains and a strong M&A environment.