Patrick Donachie

The acquisition of Lake Point Advisory Group adds to Mercer's 'deep bench' in Texas, CEO Dave Welling says.

During the opening of Schwab’s virtual IMPACT conference, Walt Bettinger said investors were seeking an “even higher level” of personalization.

The Labor Department’s proposed rule would remove obstacles for fiduciaries to consider ESG issues in investments, with one public policy expert expecting it to be finalized by early 2022.

During a speech at the Practising Law Institute's “SEC Speaks” conference, Rick Fleming argued some digital engagement practices could “blur the line” between solicited and unsolicited trading.

Registrants have a 'good understanding' of what the commission expects from Reg BI compliance, so those questions will likely be 'integrated' into the Division of Examination's regular programs, according to an...

According to the Justice Department, Larry Holley, a pastor at Abundant Life Ministries and the co-operator of Treasure Enterprise, raised nearly $9.3 million from more than 140 investors.

Independent RIA owners have greater latitude in recommending digital assets than employees of financial institutions, according to attorney Max Schatzow during a presentation at CoinDesk’s annual Bitcoin for Advisors...

If states adopt the rules, they could bring the hammer down on advisors and firms that shirk paying the fines.