Dolly Parton will be remembered for her hit songs and larger-than-life onstage persona. But under the towering blond wigs and trashy get-ups was a smart businesswoman and philanthropist who parlayed ...

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.

Although reported transactions dipped to 120 deals from 132 in the first six months of 2025, the scale of acquisitions ...

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.