None of it was real, the SEC says. The diamonds were never bought or sold, according to the complaint, and money paid back to ...

On August 31, the Securities and Exchange Commission sued Novinger, a retirement planner from Burleson, Texas, and David ...

The $80B Cleveland RIA taps the former KeyBank and Bank of America executive to drive firmwide operational strategy and lead ...

RIA adds a $376 million hybrid RIA in Glen Allen as its own $7 billion sale process reportedly plays out in the background ...

Joel Berry II brings firsthand athlete experience to Oppenheimer's $6B Winston-Salem team as NIL complexity grows for student ...

The family-owned RIA backed by Joe Duran adds eight CPAs and 800 clients, and hires a former Fidelity trust executive to ...

Private credit's fundraising engine is running at full throttle but the underlying loan books at the industry's biggest players are flashing warning signs that are harder to dismiss with each passing ...

CORRECTION: An earlier version of this story incorrectly identified Mohamed Coulibaly, who died July 31, as the former registered securities broker associated with Trinity Wealth Securities LLC. That ...

Data orchestration firm Dispatch will manage client records across custodians as Hightower Signature Wealth scales past $35 ...

The advisor, Terance Takyi, is a fourteen-year veteran of the securities industry who worked at UBS in New York from May 2023 to last June, according to his BrokerCheck report. Before that, he worked ...

Atlanta-based RIA taps former LPL executive John Rajes to unify systems as the firm looks to build on its 61-acquisition ...

American fintech attracted $80.8 billion across 933 deals in the first half of 2026, according to KPMG's Pulse of Fintech H1 2026 report. It’s a surge that accounted for the vast majority of the $86.9 ...