While RIA Mergers And Acquisitions Decline Client Assets Surge
The volume of mergers and acquisitions (M&A) among registered investment advisor (RIA) firms may be slowing, but the value of client assets surges.
Recent
Asset Managers Headed For Increasingly Lean Years, Study Says
Profitability at asset managers has slipped for the past two years and likely to decline further through 2028 as investors opt for low fee products.
CFA Level I Pass Rate Slips to 44%, Still Above Historic Average
The pass rate for the first level of the chartered financial analyst exam remained above its historic average.
Why RIA Firms Should Take Note Of The NAR Settlement
At first glance, wealth management and real estate may appear worlds apart, but RIA firms should take note of a recent $418M settlement by the NAR.
Former Investment Advisor Permanently Banned From The Industry
Ruben Williams, a former financial advisor, has been permanently banned from the securities industry after claiming to manage $11 trillion in assets.
Robinhood's Crypto Settles For $3.9 Million To Resolve Allegations
Robinhood’s crypto subsidiary has agreed to a $3.9 million settlement to resolve allegations of locking investor assets on its platform.
RIA Firms Settle Charges Related To Confidentiality Agreements
A New Jersey-based broker-dealer and two affiliated registered investment advisor (RIA) firms have agreed to pay a total of $240,000 in penalties.
