RIAs & Financial Advisors
SEC, FinCEN Propose Customer ID Rule for Investment Advisors
The Securities and Exchange Commission and Treasury's Financial Crimes Enforcement Network (FinCEN)...Read more
$28B Merrill Lynch Team Departs for JP Morgan
A team of advisors handling $28 billion in client assets for Bank of America's Merrill Lynch divisi...Read more
Wealthspire Buys $420M Women-Led Ohio RIA
Wealthspire Advisors LLC, a NYC-based independent registered investment has acquired Beachwood...Read more
RIA M&A Activity Off to Strong Start: DeVoe
Mergers & acquisitions activity in the registered investment advisory space continued its upwar...Read more
LPL Adds $830M Connecticut Foursome from Janney
LPL Financial LLC announced that advisors Logan Reed, James “Jim” English III, Michael Allegra ...Read more
Focus Financial to Merge Colony with Buckingham Strategic Wealth
Focus Financial Partners announced the merger of two of its partner firms, Buckingham Strategic Wea...Read more
DOL’s Fiduciary Rule Slammed with 1st Lawsuit
The Department of Labor is facing its first court challenge to the final Retirement Security Rule, ...Read more
$240M Father-Son Team Joins LPL Financial from Ameriprise
LPL Financial LLC announced that financial advisors Mitchell “Mitch” and Wesley “Wes” McCan...Read more
RIA Custodian Altruist Raises $169M in Series E Funding
Altruist, an LA-based custodian for registered investment advisors raised $169 million in Series E ...Read more