James Brown's Estate Inches Toward a Resolution

Sep 20, 2021

What could have been done to avoid this spectacle?

Exclusive: LPL Recruits First Independent Practice Into SWS

Sep 20, 2021

NorthShore Financial Strategies, an all-woman team previously with Wells Fargo Advisors Financial Network, is the first independent team to join LPL's SWS model, and the 14th since its inception.

RIA Edge: Building a Truly Integrated RIA Following a Merger or Acquisition

Sep 17, 2021

Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their most recent book, Integrating Culture in Successful RIA Mergers and Acquisitions, as a way to share their experience and expertise.

Mindy Diamond on Independence: Bob Veres on Building the Advisory Firm of the Future

Sep 17, 2021

Industry guru Bob Veres gives his unscripted and uncensored thoughts on the wealth management world—as it stands now and where it’s heading.

Exclusive: Vestmark Names Mike Blundin New CEO as It Doubles Down on Direct Indexing

Sep 17, 2021

Former CEO John Lunny will serve as vice chairman of Vestmark’s board of directors, as the fintech company builds out a more robust direct indexing solution and looks toward an initial public offering.

MassMutual to Pay $4M for Failing to Identify Keith Gill’s Social Persona

Sep 16, 2021

Former MML rep Keith Gill was posting online as 'Roaring Kitty' about GameStop and other stocks, right under the firm’s nose, according to Massachusetts securities regulators.

Michael Kitces' #FASuccess Podcast: Charlotte Geletka's Family Business Succession Plan

Sep 16, 2021

Silver Penny Financial's Charlotte Geletka details her journey buying her father's financial advisory firm.

Unregistered Advisor Sentenced to 3 Years in Prison for Defrauding Elderly Victim to Pay Student Loans

Sep 15, 2021

Felix Gorovodsky will serve nearly three years in prison for defrauding an elderly woman and using her funds to pay personal expenses, including more than $100,000 in student loans.

Transparency with Diana B.: Empowering Women to Take Control of Their Finances

Sep 15, 2021

When advisor Robert Schein’s father died, his mother was thrust into taking care of the finances, which she knew little about. The experience inspired him to launch an organization dedicated to helping women take control of their financial lives.

Wells Fargo Advisors Go Indie With LPL's Breakaway Affiliation Model

Sep 13, 2021

Shoreline Wealth Management is the 13th team to affiliate with LPL through its Strategic Wealth Services model, which went live in April 2020 to lure breakaways.