Schwab Expects Revenue to Rebound After Slump Earlier This Year
By Paige SmithFewer customers are shifting money in search of higher yields, the firm reported Monday.
September 09, 2024
SEC Hits 9 Firms in Marketing Rule CrackdownThe RIAs ran ads with untrue or unsubstantiated statements or broke rules around ratings and testimonials, the SEC says.
September 09, 2024
For These Dealmakers, RIA Consolidation Is a Race to ScaleIndustry leaders, at a recent summit, noted the influence of private equity in acquiring smaller firms.
September 06, 2024
RIA Hid Fee Hikes From Clients, SEC SaysThe firm charged $1.36 million in higher fees it failed to properly disclose, a lawsuit says.
September 05, 2024
SEC Fines RIA for Custody Rule ViolationsClearPath failed to timely distribute annual audited financial statements to investors in certain private funds, the SEC said.
September 03, 2024
Mariner Buys Middle-Market M&A Advisory ShopThe deal will enable the RIA, which is led by Marty Bicknell, to offer clients enhanced M&A advisory services, the firm says.
August 28, 2024
Sequoia Financial Buys Wealth Team From Large AccountantThe deal also includes a strategic partnership that will see both firms support the needs of shared clients.
August 28, 2024
Top IAA Lobbyist to RetireNeil Simon will step down at year end, with Gail Bernstein, general counsel, adding public policy direction.