RIA Industry News from around the Nation
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RIA Industry News from around the Nation
What's Happening Today
Updated Hourly
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Wall Street Pay Clawback Rule to Get New Push at SEC
U.S. Securities and Exchange Commission Chair Gary Gensler said he is keen to finish a long-stalled requirement to clamp down on Wall... Read more » - ●Raymond J. Hayes, a 37-year industry veteran, joins J.P. Morgan’s division of traditional brokers as the firm envisions doubling its headcount over... Read more »
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Tiedemann-led RIA SPAC sets sizable growth targets
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The combined company, called Alvarium Tiedemann Holdings, is shooting to have more than $100 billion in client assets in five years. The... Read more » - ●Merrill Lynch Wealth Management President Andy Sieg told brokers not to expect any “large-scale change” in their compensation plans for 2022 while... Read more »
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The new firm in Greenwood Village, Colorado, is called Nilsine Partners, which is a reference to the state motto. The post Merrill... Read more » - Citizens Financial Group Inc. has been on a buying spree, but Chief Executive Officer Bruce Van Saun is still chasing one spot:... Read more »
- Jerry Rice resigned from Raymond James’ independent broker unit in 2019 after the firm initiated a review into alleged conflicts of interest... Read more »
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The Planned Approach, managing $266 million, is joining Buckingham Strategic Wealth, a St. Louis-based RIA in which Focus owns a majority stake.... Read more »- Five advisors had a combined 86 years with Merrill, according to BrokerCheck, and had managed $1.75 billion in customer assets. Read More The... Read more »
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The two firms will use the SPAC, Cartesian Growth Corp., to form Alvarium Tiedemann Holdings. The post Tiedemann Group, Alvarium to merge... Read more »
NEWS
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Gaining Better Understanding of Client Personality, Attitudes, and Values Using Psychometric AssessmentsFinancial advisors have used various personality assessments with their clients for decades as a way to identify risk tolerance and to make... Read more »
SEC Charges Puerto Rican Company and Managing Members with Fraud
The Securities and Exchange Commission today announced charges against Puerto Rico-based Back to Green Mining LLC and its two managing members, José... Read more »
As we posted last week, CoinBase's proposed lending program, where its customers would be able to use cryptocurrency to make loans to... Read more »
The Securities and Exchange Commission's Small Business Capital Formation Advisory Committee will meet virtually on Monday, Sept. 27 to explore the changing... Read more »
- #FA Success Ep 247: Systematizing How To ‘Deliver Massive Value’ To Charge What You’re Really Worth, with Matthew Jarvis
Welcome back to the 247th episode of the Financial Advisor Success Podcast! My guest on today's podcast is Matthew Jarvis. Matthew is the... Read more »
BLOGS
What's Happening Today
Updated Hourly RIA News
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What to Do if Congress Locks the Back Door on Roth IRAs
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Advisors will have to act quickly if new tax rules eliminating backdoor and mega backdoor Roth IRA strategies are enacted. Related StoriesHouse Panel... Read more » - ●U.S. Securities and Exchange Commission Chair Gary Gensler said he is keen to finish a long-stalled requirement to clamp down on Wall... Read more »
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Stanford Center on Longevity's Laura Carstensen explains why people are living longer and how it affects future planning. Related StoriesWhite House, Life Insurers... Read more » - ●
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The ACLI says everyone should have paid leave. Related StoriesInvesco Partners With Galaxy Digital to File for Bitcoin ETF - EnclosureNew Bill Would... Read more » - ●
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The Invesco Galaxy Bitcoin ETF is essentially a revision of Galaxy's earlier filing for a Bitcoin ETF. Related StoriesFidelity Pushed for Bitcoin ETF... Read more » - ●
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Alexander Hansen has been hired as senior vice president of RIA compliance. Related StoriesFidelity Taps New Leader for $4T Personal Investing Division -... Read more » - ●
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Early numbers suggest that the mortality rate for people ages 25 to 64 is rising. Related Stories20 Worst U.S. Cities for Retirement: 2021... Read more » - ●
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Under the Portable Retirement and Investment Account Act, every American would receive an account when they get a Social Security number. Related StoriesThe... Read more » - ●
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More than half of active U.S. equity funds underperformed their indexes in the year ended June 30, S&P Dow Jones Indices reports. Related... Read more » - ●
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A rate hike next year would be sooner than many have been expecting. Related StoriesClient Demand for Sustainable Investing Grows - EnclosureAnnexus to... Read more »
NEWS
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