SEC Issues New Reg BI Guidance
By Melanie WaddellA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.
April 13, 2023
Altruist Raises $112M to Take on Schwab, Fidelity: Tech RoundupFunding came from Insight Partners and Adams Street Partners, plus Bill McNabb, Ron Carson and Marty Bicknell.
April 11, 2023
Should Your RIA Add a Custodian?Regardless of its size, your RIA could benefit from a multi-custodial system.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.
April 06, 2023
Morgan Stanley's 1GT Invests in AI-Focused Analytics Startup: Tech RoundupIn addition, Orion's Redtail platform has integrated with Flourish.
April 05, 2023
Former Goldman Sachs Execs Launch RIA AggregatorModern Wealth Management recently received $200 million in private equity financing from Crestview Partners.
April 03, 2023
Do a 'Mock Audit' Now Before SEC Comes Knocking: Compliance ProFrontLine Compliance's Amy Lynch talks about today's top compliance issues and how advisors can prepare for what's ahead.
March 30, 2023
BofA's Planning Tool Hits Milestone: Tech RoundupIn addition, Snappy Kraken has launched its Freedom360 marketing program for financial advisors.