Northern Star settled SEC charges that it mislead investors in public filings, indicating it had not had conversations with Apex prior to its IPO.

It was a slow week for deals in the RIA space but MAI didn’t miss a beat and Wealth Enhancement Group reinforced its position as 2023’s most active buyer.

Will Armenta co-founded the "alts-for-advisors" platform with Joe Lonsdale, and advises Lonsdale's $6 billion venture capital fund. He'll be a managing director at Duran's Rise Growth Partners.

Despite the proliferation of minority buyers in the RIA marketplace, the number of deals has declined over the last couple years.

Prospera Generational Wealth leverages internal and outsourced talent to offer the firm's wealthiest families a broader range of services.

Double-digit percentage point gains in both were notable findings in the annual advisor tech survey revealed at the T3 conference this week, as was the persistently low adoption of cybersecurity tools.

Cetera has done more than 12 such transactions in the past year.

Stich, a highly visible wealthtech marketing executive, departs after a little more than a year with the new digital custodian.