Firm Breaks Away From UBS to Start $850M Indie RIA
By Jeff BermanEight-person firm Mitchell WealthCare changed its name to Next Level Private after it left the wirehouse.
September 07, 2021
3 Ways Advisors Can Better Serve Female InvestorsFocus on a segment of the market and tailor your approach, Cerulli suggests.
September 07, 2021
How Investors in Different Jobs Choose Their Financial AdvisorsWorkers in different occupations prioritize different traits in advisors, Spectrem found.
September 03, 2021
Advisor to Pay $841K for Charging Hidden Fees to Pro AthletesDouglas E. Elstun charged higher fees than clients had agreed to and invested in high-risk ETFs, the SEC says.
September 03, 2021
9 Firms Hit by SEC Over 12b-1 FeesThe SEC gave firms a chance to self-report violations and avoid penalties. Now it's bringing cases.
September 02, 2021
Orion Mulls More Acquisitions as It Folds In Brinker, HiddenLeversEric Clarke talked to ThinkAdvisor about crypto, its Brinker and HiddeLevers integrations and why Orion chose to hold an in-person conference.
September 02, 2021
Snappy Kraken Delays JOLT Conference: Tech RoundupMeanwhile, the UBS Investment Bank has given new funding to the Lynk AI-driven platform.
September 01, 2021
Focus Financial Scoops Up $9B Ohio-Based Wealth GroupThe deal adds Ancora Holdings, which is employee-owned and led by CEO and Chairman Fred DiSanto.