SEC Hits RIA With $100K Marketing Rule Fine
By Melanie WaddellTwenty Acre Capital misled investors by presenting performance returns experienced by a single investor, the SEC says.
June 10, 2024
Ex-NFL Player Finds New Field, Similar Strategy at RIA Serving Ultra-WealthyAfter retiring at 30, former Broncos wide receiver Bennie Fowler is leading market expansion at Caprock.
June 10, 2024
David Canter Joins Board at Parallel AdvisorsThe RIA industry veteran is the first outside board member at the $7.5 billion wealth management firm.
June 03, 2024
The Colony Group Adds 5 Connectus Wealth UnitsThe groups making the move have a total of $5.3 billion in AUM.
May 30, 2024
The Ups and Downs of Going Independent, in 10 Charts: SchwabAdvisors are choosing different paths to independence but face serious challenges, a survey finds.
May 29, 2024
Wealth Enhancement Group Brings on $1.2B Texas TeamThe deal to acquire the Financial Advisory Group brings the firm's total asset base to roughly $81.5 billion.
May 23, 2024
Carson Group Hits Back at Former Exec's LawsuitThe firm denied wrongfully firing Mary Kate Gulick after she complained about the handling of a sexual assault report.
May 22, 2024
RIAs See Growth Potential in Clients' Savings Accounts: SurveyMulti-year guaranteed annuities could help advisors attract those assets, Security Benefit and DPL Partners suggest.