News

The latest news on the wealth management industry, people, markets and trends.

Highlights

Mercer Advisors Acquires Family-Run AL Hewitt

Nov 20, 2019

As AL Hewitt solidifies its succession plan, Mercer Advisors continues its aggressive growth.

US SEC building in Washington, D.C., 2008

SEC Claims Florida Men Deceived Investors in $6 Million Ponzi Scheme

Nov 20, 2019

The duo's victims include a 77-year-old retiree who invested about $1.1 million.

Morgan Stanley Revises Grid for 2020, Citing Market Conditions

Nov 19, 2019

Morgan Stanley has updated its grid payout scheme to incent its advisors to aim higher and sell financial plans...

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Clayton Touts Reg BI at SIFMA Conference

Nov 19, 2019

The SEC commissioner was among the choir while singing the praises of the soon-to-be-implemented rule at the trade association's annual meeting in Washington, D.C.

Atria B/Ds Hire New Director of Business Development

Nov 19, 2019

CUSO Financial Services and Sorrento Pacific Financial have hired Tami Cain to boost their business.

U.S. Sen. Tim Scott Urges More Clarity on Opportunity Zones Impact

Nov 19, 2019

At SIFMA's annual meeting, U.S. Sen. Tim Scott said there could be additional clarification on the opportunity zone regulations by the end of December.

Amid AUM Slide, Waddell & Reed Recruits Two Advisors

Nov 18, 2019

Lisa Affolter and Christopher Dulovich join Waddell & Reed as affiliated advisors.

The 10 Largest RIA M&A Deals in 2019

Nov 18, 2019

The market for registered investment advisors is red-hot this year; here are the largest transactions to occur thus far this year.

The 10 Largest RIA M&A Deals in 2019

Nov 18, 2019

The market for registered investment advisors is red hot this year; here are the largest transactions to occur thus far this year.

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