Advisor Wellness

Finra Could Raise Annual Dues By Over 7 % For Some Firms

Finra has announced a scheduled increase in member dues aimed at covering its operational costs.

Advisory Firm Violates New SEC Marketing Rule

In November 2022, the SEC's new marketing rule took effect, bringing long-needed updates to advertising regulations for advisors.

Wall Street Math Wizards Are Decoding Private-Market Returns

Times are tough in private markets. High borrowing costs are hurting returns, managers are struggling to exit investments.

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.

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.