Anna Snider, head of due diligence for Merrill Lynch and Bank of America Private Bank, said it is taking a deep dive into diversity and inclusion at the asset managers who offer 3,000 of the investment strategies on its wealth investment platform.

Incoming NASAA President Lisa Hopkins said the expansion of private markets without proper regulation and transparency is a 'potential breeding ground for fraud,' during the organization's virtual annual conference.

Focus Financial Partners also announced the acquisition of GreenCourse Financial Advisors and Baldwin & Associates.

The trio of advisors and additional staff will join the firm's employee advisor channel from UBS and will be headquartered in Kansas City.

Baldwin & Associates and GreenCourse Financial Advisors join the Buckingham fold.

Wouldn’t you love for this not to be just a time in which your organization survived, but that it actually evolved in ways that’ll enable it to thrive in unimaginable ways?

Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.

The RIA industry is going through a transformation and there are four catalysts behind it, says Mark Tibergien.

LPL adds Summit Wealth Advisors, a Pittsburgh.-based team managing about $140 million in client assets, after 20 years with Lincoln Financial Securities.