RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
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This Week’s Top 5: BofA’s Moynihan Rosy on Advisor Headcount, $2-Mln L.A. Producer Jumps to Wells, And More
Most-read stories from January 16 to January 21. Read More The post This Week’s Top 5: BofA’s Moynihan Rosy on Advisor Headcount, $2-Mln... Read more » - Morgan Stanley boosted Chief Executive Officer James Gorman’s compensation to $35 million, leaving him poised to be the best-paid major U.S. bank... Read more »
- But outside recruiters argue that anecdotally, significant numbers continue to exit, particularly at Merrill and Wells. Read More The post Fewer Wirehouse Brokers... Read more »
New era imminent as SEC focuses on accountability
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The agency seems to be moving toward seeking admissions of guilt from firms based on first-of-their-kind enforcement actions that it has taken... Read more »- In the mix for 2022 are rule tweaks and updated guidance from Finra around Reg BI, broker expungements, options account opening, and... Read more »
- Wells Fargo & Co. got another regulatory order lifted, the latest sign of progress for Chief Executive Officer Charlie Scharf’s quest to... Read more »
- The bank is shifting oversight of its investment products group and Chief Investment Office to Merrill President Andy Sieg while handing Private... Read more »
- Team had managed $285 million in customer assets, according to Forbes, which ranked one of the members on its top next-gen list... Read more »
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While private equity investors have an unquenchable thirst for wealth management, the public markets haven't always been kind to wealth management companies.... Read more »- The company, founded 12 years ago by Smith Barney alumni, said it earned $46.2 million in revenue and generated $4.9 million in... Read more »
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What's Happening Today
Updated Hourly RIA News
- ●Most-read stories from January 16 to January 21. Read More The post This Week’s Top 5: BofA’s Moynihan Rosy on Advisor Headcount, $2-Mln... Read more »
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GeoWealth raises $19 Million to out-tech Orion, SEI, AssetMark and Envestnet on RIA outsourcing but then goes after their talent, too
The Chicago TAMP grew fourfold in four years before J.P. Morgan Asset Management and Kayne Anderson Capital Advisors made a big investment... Read more » - Morgan Stanley boosted Chief Executive Officer James Gorman’s compensation to $35 million, leaving him poised to be the best-paid major U.S. bank... Read more »
New Bill Would Fund States' Efforts to Protect Older Investors
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The Empowering States to Protect Seniors from Bad Actors Act would create a grant program run by the SEC. Related StoriesWells Fargo Gets... Read more »![]()
Increasing access to, and diversity in, the profession are among the CFP Board's main priorities, Kamila Elliott tells ThinkAdvisor. Related StoriesNew Bill Would... Read more »![]()
New hires will help the IRS manage its increasing caseload in its multi-year effort to stamp out abusive schemes. Related StoriesThe 10 Worst... Read more »![]()
CEO Peter Mallouk tells ThinkAdvisor what's ahead for the 401(k) participants now serviced by his firm and why he does so many... Read more »![]()
The date for a preliminary hearing in Anthony Duwayne Turner's case has yet to be set, according to the Los Angeles County... Read more »![]()
Florida Blue's parent has its first chief health equity officer. NFP has a new Northeast region co-president. Related StoriesWells Fargo Gets 2015 Regulatory... Read more »- The Irvine, Calif., robo-advisor is blaming 'market conditions' but it's the one paying the penalty fee and praising its punisher... Read more »
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