SEC Fines RIA for Custody Rule Violations
By Melanie WaddellClearPath failed to timely distribute annual audited financial statements to investors in certain private funds, the SEC said.
August 28, 2024
Top IAA Lobbyist to RetireNeil Simon will step down at year end, with Gail Bernstein, general counsel, adding public policy direction.
August 23, 2024
RIAs Are Moving Fast to Offer HNW Services: SurveyA growing number are embracing family office services, investment banking and work on trusts, Raymond James research finds.
August 21, 2024
How to Serve the Complex Needs of the Entire UHNW Family: Wealthspire's FlanaganYounger generations want to learn how family members amassed wealth and what plans they've envisioned for it, she says.
August 20, 2024
CW Advisors Buys $1.2B Fee-Only RIAThis is the firm's largest deal since kicking off its acquisition strategy in 2023 after private equity backing.
August 20, 2024
Duran's Rise Growth Makes First RIA InvestmentIt is acquiring a minority stake in Bleakley Financial, which works with nearly $10 billion in assets and is based in Fairfield, New Jersey.
August 16, 2024
Snappy Kraken Rolls Out New Marketing PlatformThe firm is deepening its commitment to the enterprise segment of the advisor industry, CEO Robert Sofia says.
August 15, 2024
Creative Planning Minority Owner Wants to Pare StakeCEO Peter Mallouk confirmed that General Atlantic is seeking to sell part of its position in the RIA.