Ex-Thrivent Exec Launches an RIA Roundtable
By John ManganaroCarolyn Armitage's member-based organization, RIA Circle, brings together advisors to share ideas and best practices.
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.
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.