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Robinhood Wannabes Dare Regulators With Embrace of Games and Prizes
Among the many complaints about Robinhood Markets Inc. in the pandemic era, one attack seemed to stick: the brokerage app was making... Read more » - Most-read stories from October 10 to October 16. Read More The post This Week’s Top 5: Project Thunder Week 7, First Republic Hires... Read more »
- “I think there are wealth management opportunities for us in the U.S. as we move from simply managing money with ultra-high net... Read more »
RIAs should brace for technology disruption
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Fintech experts say the next disruption could come from out of the blue, and that advisers should avoid embracing tech for tech's... Read more »- A $300 million settlement, not fundamentals, cleared the way for a 63% jump last week to cap off a 425% rise this... Read more »
- The six-person group led by Christopher D. Jacobs had managed $520 million in assets, according to two sources familiar with their practice.... Read more »
- Charles Schwab Corp. reported record earnings per share in the third quarter as clients opened new brokerage accounts and traded more amid... Read more »
- Some advisor departures in the third quarter were part of the company’s planned shuttering of its servicing of international clients. Read More The... Read more »
- Bank of America’s wealth business notched record revenue and assets despite steadily declining headcount. Read More The post Merrill Slows Broker Attrition, Keeps... Read more »
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The 64 transactions from July to September make 2021 a record year for deals, and more than half involved sales of firms... Read more »- The $300 billion added year-to-date reflects the success of a “multi-pronged” approach and net positive recruiting, CEO James Gorman told analysts. Read More... Read more »
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The new offering, called Pershing X, is headed by Ainslie Simmonds and will enable RIAs to outsource almost all of their practice... Read more »![]()
DeBoer Financial Group is based in Roseville, California, just a few miles from Allworth. The post Allworth Financial acquires $180 million RIA... Read more »- The federal agency should refine distinctions between brokers and investment advisors to ensure that brokers are held to higher standards, Rick Fleming... Read more »
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The broker-dealer cut ties with Eileen Cure in the wake of allegations of racism on social media. She is now part of... Read more »![]()
Carson Group Excell conference whets the appetite of advisers looking for fee-based insurance products. The post Insurance products are morphing into securities... Read more »![]()
The addition of Covenant Multifamily Offices expands Captrust's Texas footprint and adds $2.6 billion under management. The post Captrust takes a big... Read more »![]()
Ricky Moore’s Oak Financial Group in Angleton, Texas, had been with Sagepoint for seven years. The post Adviser overseeing $280 million moves... Read more »Do 401k Plan Sponsor Have Fiduciary Responsibilities For Employees In Retirement?
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If you think the web of fiduciary duties is complex in a 401k plan that focuses on getting employees to save for... Read more »![]()
After a record-setting third quarter of 78 deals, Echelon Partners' data showed 2021 has already beaten last year's record for RIA transactions.... Read more »
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