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Lido Advisors launched a broker/dealer option as it continues to recruit advisors, though it will remain focused on being a fee-only RIA, according to a regulatory filing and execu...
Section 205(a)(1) of the Advisers Act generally prohibits an investment adviser from entering into an investment advisory contract that charges a performance-based fee – i.e., comp...
Sanction tied to a ruling that advisor implemented a strategy unsuitable for their client
The 22-person Jacksonville, Fla., team, led by four partners, will use First Clearing for custody and TradePMR for middle-office support.
Soltis Investment Advisors joins a growing trend of wealth managers offering in-house tax preparation and services.
A FTSE Russell survey shows 77% of affluent investors use financial advisors for alternative investments, yet 30% haven't discussed these options.
Altruist Advisors, which will launch broadly in the fall, will provide the compliance, custody and operational infrastructure needed to build an independent practice.
City Square Wealth Management’s six-advisor team has joined Integrated Partners with an office in Charleston, Mass.
Nearly half of RI investors plan to increase holdings, but knowledge and engagement lag
The Bedford Group will use Private Client Services for brokerage and Schwab for custody, according to flings.
The RIA's new Porterhouse strategy will screen Russell 1000 companies monthly for strong earnings and cash flows, concentrating capital in high-conviction names.
A practical primer for advisors
The deal with Fi3 Advisors is Wealthspire's second in Indianapolis this year and expands its high-net-worth business.
Welcome to the Regulatory Roundup. Each month, Eversheds Sutherland Investment Services attorneys review significant regulatory developments (including notable rulemakings and guid...
Advisors focused on energy, commodities and natural resources funds, while active and specialty strategy issuers gained market share over established players.
Private Advisor Group, one of the nation’s leading financial services firms headquartered in Morristown, announced that, in partnership with its minority equity investor LPL Financ...
Kintra Wealth is preparing to launch with 74 employees across eight states as a new, advisor-owned and operated RIA platform.
Beginning on June 29, 2026 (the “Effective Date”), SEC-registered investment advisers charging performance-based fees (e.g. carried interest or performance allocation) and in certa...
The Securities Investor Protection Corporation provides coverage of up to $500,000 for stocks, bonds and mutual funds, including up to $250,000 in cash.
Over 39,000 advisors changed firms in 2025, close to a decade high, with RIA and IBD channels seeing the strongest net gains, according to tracking by ISS MI.
Prairie View Wealth Advisors has launched in South Dakota with three veteran bank advisors, a tax-forward wealth focus and custody partner Raymond James.
The Los Angeles wealth advisory firm has added Jackson Hole Capital Partners, which brings a team of six partners focused on alternatives.
The regulator's panel finds advisor named himself sole heir to client's estate
The rankings of the fastest-growing RIAs over the past 12 months, compiled by AdvizorPro, highlight key nuances of the channel's rapid expansion.
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