SEC Hits 9 Firms in Marketing Rule Crackdown
By Melanie WaddellThe RIAs ran ads with untrue or unsubstantiated statements or broke rules around ratings and testimonials, the SEC 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.
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.