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InvestmentNews
29 分钟
Fintech startup Yayati adds industry cred with AssetMark alum Jerry Chafkin
The wealth tech firm expects its latest C-suite addition to lead its charge to boost adoption of option-based strategies in ...
InvestmentNews
1 小时
AmeriFlex cuts out matchmakers with new advisor transition marketplace
The hybrid RIA's new platform takes a page from the Uber model, with 200 qualified buyers to start off its national rollout.
InvestmentNews
2 小时
Cetera's employee RIA hits $2.6B milestone with Parrott Wealth Management
The Retirement Planning Group's fourth deal for 2024 adds nearly $200M in AUM with veteran-led practice in Austin, Texas.
InvestmentNews
4 小时
BNY plots course for crypto ETF custody business
A decision around how it treats crypto assets on its balance sheet could unlock a lucrative fee stream for the Wall Street ...
InvestmentNews
4 小时
AI chatbot gets green light to give buy, sell investment advice
The move marks a milestone for generative AI even as SEC Commissioner Gary Gensler warns of a future crisis in the making ...
InvestmentNews
6 小时
SEC hits nearly a dozen firms with $88M in penalties in latest recordkeeping sweep
One firm avoided penalties as it proactively self-reported and took compliance action, according to the regulator.
InvestmentNews
5 小时
LPL plants new stake in New York with $400M Wedbush team
LPL's move in New York bolsters its streak of additions so far in September, including a $650 million group that left ...
InvestmentNews
5 小时
Summit Financial adds $470 AUM with double deal
The wealth giant is extending its presence in Oklahoma and Pennsylvania with minority stakes in two independent firms.
InvestmentNews
6 小时
Nasdaq hit with “dawn raid” by regulators
European Union antitrust regulators have launched investigations into Deutsche Börse AG and Nasdaq Inc. over potential ...
InvestmentNews
7 小时
Kingswood snaps up $1B Nashville RIA
The Tennessee-based firm led by a 36-year industry veteran helps extend Kingswood's presence in the Southern US.
InvestmentNews
2 小时
SEC penalizes Brighton Securities over fee disclosures, conflicts
Broker-dealers and RIAs are right now in a position where they must over disclose," says one industry executive.
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