How the SEC Picks Advisors to Examine
By Melanie WaddellA new Risk Alert lays out criteria and describes the types of information the agency will request in exams.
August 31, 2023
Schwab, Creative Planning Sued Over $9.5M LossA "reckless and negligent stock options investment strategy" led to the loss of the client's Boeing stock, the suit claims.
August 30, 2023
Venerable Aims to Power Variable Annuity Issuers' Fund MenusTim Brown will lead the new asset management team.
August 30, 2023
Beware of TV Economists Bearing Doomsday Forecasts: Carson's DetrickEconomists in bowties might forecast gloom, but if "credit markets aren't worried, I'm not worried," the strategist said.
August 29, 2023
TD Ameritrade Hit With Class-Action Suit Over MOVEit HackThe suit was filed with less than a week to go before all TD client accounts move onto the Charles Schwab platform.
August 28, 2023
Has Creative Planning's Mallouk 'Nailed It' With Goldman Sachs Deal?The $245 billion RIA is set to add the former United Capital's $29 billion in assets and its practice management platform.
August 28, 2023
Goldman to Sell Former United Capital Unit to Creative PlanningThe business, formerly led by Joe Duran, oversees $29 billion in assets; it was purchased by Goldman for $750 million.
August 27, 2023
Why M&A Activity for RIAs Should Be Strong in 2023There's "never been more capital on the sidelines than there is today," says Republic's Peter Nesvold.