| | | | | Is there such a thing as a “Yellowstone” effect? Read More > |
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| | | According to the complaint filed in Arizona federal court, the firm’s cash sweep practices “violate common law, federal law and industry regulations.” Read More > |
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| | | The team is at the center of an ownership dispute. Read More > |
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| | | The Zelin Group and its five advisors made the move after the lead partner, Jonathan Zelin, had been with Merrill for more than seven years. Read More > |
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| | | The asset manager says the reduced expenses on 168 funds will save investors $350 million in 2025. Read More > |
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| | | The automated note-taking and workflow provider is working with many RIAs and is already an approved LPL vendor. Read More > |
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| | | Alex Pape, a former global head of product at Aladdin, will oversee the development of AssetMark’s technology. Read More > |
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| | | Consultant XA Investments expects continued growth as advisors continue to adopt the products for client portfolios. Read More > |
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| | | This is FINRA’s first enforcement action for violations of Rule 4330, which established requirements for the borrowing of customers’ fully paid or excess margin securities. Read More > |
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| | | Alisa Maute, a former executive vice president at LPL, will lead Mercer’s client development team, which has doubled in size over the past two years to more than 100 professionals. Read More > |
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| | | Buying Aspire Wealth Management and Fernwood Investment Management will add a combined $800 million to CW Advisors' platform. Read More > |
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