SEC in Talks to Raise AUM Threshold for Advisor Registration
By Melanie WaddellDiscussions are happening between the SEC and the states, sources say.
June 27, 2025
SEC Denies Requests to Alter More Texting SettlementsPerella Weinberg Partners and Kroll Bond Rating Agency asked the SEC to “equalize” certain settlement undertakings.
June 26, 2025
Mercer Hits Employee Ownership ‘Milestone’More than half of its roughly 1,300 employees are now equity owners in the $72 billion RIA.
June 26, 2025
Public, Private or PE? Commonwealth Advisors (and Others) Have Decisions to MakeMike Durbin of Cetera talks to ThinkAdvisor about AI, advisor recruiting and why private equity gets a bad rap.
June 26, 2025
Envestnet to Sell Yodlee to PE FirmFinancial advisors will still have access to Yodlee data aggregation technology, the firms said.
June 26, 2025
Aaron Klein’s New Venture Aims to ‘Kill Broken Meetings’The ex-Nitrogen CEO says AI note-takers are actually making meetings worse for financial advisors.
June 26, 2025
Training Program for New Advisors Tops 2,000Amplified Planning’s 2025 Externship program has 2,078 enrollees; over 42% are women.
June 25, 2025
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed AuntScott Mason of Pennsylvania had pleaded guilty to misappropriating $17 million.