Issue eclipses cybersecurity for first time in six years in the Investment Adviser Association survey
David Hu sold fake loans to pay off earlier investors, the SEC alleges
With back-to-office plans in flux, the acceleration of digital-driven processes among advisers is a trend for the long haul
Independent advisers want to do deals, but many confess they aren't really prepared to do so
All RIAs are different, which underscores the need for diverse sources of funding for these firms
Thun Financial Advisors specialize in serving U.S. citizens who live overseas
The president of the advisory firm GRID 202 Partners will take the top post in 2022
More and larger deals suggests the second half could reach record levels
Rhode Island keeps its requirement on the books
Benjamin Alderson, the former CEO of deVere USA, also agrees to a permanent bar
Prospecting is now more difficult, and advisers said they are less effective at selling products, a report from Limra and others shows
Both Black Stone Partners and Creative Capital Wealth Management are Pennsylvania-based
The purchase of Denver-based M.J. Smith and Associates was partially driven by the need for a succession plan
The combination of FormulaFolios and Brookstone brings together approximately 800 advisers operating in all 50 states, with more than 500 offices
The Miami-based independent platform is the second to poach an adviser team from the wirehouse in the last week
The measure would cover supervision, cybersecurity and business continuity, among other areas
The $4.7 billion RIA will use the influx of new capital for a 'durability plan' and to make acquisitions
Maryland-based CenterPoint Wealth Advisors will use the firm's B-D and RIA platforms
The advisers are the first breakaway team Sanctuary has picked up from the wirehouse this year
Deal activity is expected to pick up steam in the second half of the year
