Creative Planning Adds $1.4B Advisory Firm
By Janet LevauxThe acquired RIA firm, based in Berwyn, Pennsylvania, is focused on helping clients with business succession planning.
September 28, 2023
Schwab Launches Online Inheritance HubThe center aims to help investors handle paperwork digitally and gives them access to dedicated estate professionals.
September 27, 2023
FPA Taps President-Elect, Board MembersClaudia Cypher Kane is the group's 2024 president, while Paul Brahim of Wealth Enhancement Group is set to become its president elect.
September 27, 2023
Wealthspire to Buy $3B RIAThe acquisition will expand Wealthspire's East Coast footprint, the firm says.
September 26, 2023
AssetMark to Pay $18.3M Over Revenue SharingThe SEC says the firm didn't disclose conflicts of interest tied to its cash sweep program and payments from some custodians.
September 26, 2023
SEC Charges Firm With Inflating AUM on Form ADVVista Financial Advisors repeatedly failed to corroborate its asset levels, the SEC said.
September 25, 2023
Schwab Call Center Woes Plague RIAs After TD Ameritrade Move"I can tell you the company line from Schwab is very misleading," one advisor said.
September 25, 2023
SEC Fines Firm $1M Over Marketing Rule ViolationsWellesley Asset Management made material misstatements and omissions in marketing materials about a bond index it created.