See the latest on the Wealth Management Industry including M&A activity, diversity and inclusion and RIA updates.
Get the latest stories direct to your inbox - subscribe to the Morning Memo.
The brokerage regulator settled two cases related to the SEC’s rule this week; one securities attorney believes FINRA has now established itself as the “primary regulator” of the rule.
Historically, the real estate investment manager relied on independent broker/dealers to reach private wealth. It wants to diversify both its distribution and its investment offerings.
It was a remarkable week in the already indefatigable RIA market, with at least 14 deals announced, two new launches and more than $22 billion in transacted assets.
Lars Knudsen called his former employer “bullies, plain and simple,” claiming the RIA made false allegations about him, including accusing him of brandishing a gun in the office.