Effective Sept. 16, Schwab will raise new-client minimums for long-short separately managed accounts to $10 million from the current $1 million, and from a minimum of $3 million for the most highly ...

Advisors and insurance agents still hold seminars. Your relatives and clients, on occasion, still receive mailings for dinner ...

The SEC is looking into allegations that Michael Watkins "may have been running a Ponzi scheme or may have misappropriated investor funds," according to a l ...

Wells Fargo has suspended the use of Forbes and Shook Research advisor rankings after the discovery of a secret $6 million payment from the research group's founder to the publication's content chief.

Envestnet on Thursday announced a $35 million surge investment in Tamarac, its RIA platform, more than doubling its technology commitment as part of a broader $1 billion, five-year research and ...

The SEC on Thursday filed 38 civil complaints against the purported firms, alleging that they made material misrepresentations in Forms ADV filed with the commission in 2025 and 2026 to falsely ...

Dean Dellas, 42, of Cazenovia, New York, had pleaded guilty to wire fraud and aggravated identity theft, leading to the nearly six-year sentence, prosecutors and the FBI announced.

A-Cap — the parent of Sentinel Security and Atlantic Coast Life — said Thursday that it has agreed to divest a stake in a soccer club in Rio de Janeiro for a price that was not disclosed. The ...

The $4.6 billion deal is the "biggest structural move for RIA custody in years," William Trout of Datos Insights says.

The SEC plan would modernize the regulations around custody of advisor assets, including crypto assets, the filing at OMB says.

Advisor Charley Corbett helped the retired executive fill crucial planning gaps so she could enjoy her wealth.

"This is a market that's up for grabs," argues Correa, a certified financial planner who oversees 250 employees, 140 of whom are FAs with total AUM of $25 billion, in UBS's 200 Park Avenue branch ...