The Big Mistake That Leaves Advisors Open to Lawsuits
By Jeff BermanToo many brokers and advisors skip a crucial step when joining a firm, legal experts like Brian Hamburger say.
February 24, 2022
How Advisors Are Talking to Clients About Russia-Ukraine War: Advisors' AdviceSeveral advisors told us they've been getting questions about the crisis. Here's what they're telling clients.
February 23, 2022
CI Financial Buying $5B California RIAAdding Newport Beach-based Corient Capital Partners will boost CI's U.S. Wealth Management assets to $125 billion.
February 22, 2022
Are You Keeping an Eye on Your Service Providers?Here's how RIAs can maintain effective due diligence programs to evaluate third-party risks.
February 22, 2022
SEC's 'Accredited Investor' Update Could Bring Unintended Consequences — SEC RoundupLawyers Nick Morgan and Tom Zaccaro talk to Brittany Davis of Backstage Capital about how the change could affect investors.
February 22, 2022
Envestnet Weighs Options After Getting Takeover InterestThe turnkey asset management provider has been approached by at least one private equity firm interested in acquiring it, said a source.
February 18, 2022
Focus Financial Expects to More Than Double Revenue Over Next 4 YearsIt also seeks to increase its number of partner firms by about 50%, CEO Rudy Adolf says.
February 18, 2022
Lawyers Release SEC Marketing Rule Checklist as Advisor Questions LingerModel portfolio marketing materials are raising a lot of questions, according to Eversheds Sutherland.