The biggest driver of change in the RIA space is technology, cited by 43% of advisors, well ahead of regulation, cited by 22%; clients, cited by 18%; and the advisors themselves, cited by 17% as the ...

Edward Jones, which has long focused on serving a core of mass affluent clients, is piloting more capabilities for its 19,500 or so advisors to serve high-net-worth clients, according to Managing ...

Elevation Point, led by Jim Dickson, is another example of an effort to contribute to minority stakes in select RIAs. Dickson, the former chief executive officer of Sanctuary Wealth, told FA-IQ in ...

SEC Chair Gary Gensler has defended his rulemaking agenda, saying it's aimed at protecting investors and creating greater transparency in sectors such as the $30 trillion private fund space, as ...

Ameriprise Financial Senior Vice President of Business Development and Experienced Advisor Recruiting Manish Dave has ...

Edward Jones has introduced its first in-house managed account, offering no manager fee, a minimum investment of $50,000 and access to large-cap stocks as part of a broader plan to expand its SMA ...

The Securities and Exchange Commission is stepping up its legal game in a bid to ensure it has more purview of the crypto space, with a planned appeal of a decision involving its suit against crypto ...

Sanjay Wadhwa, the unit's deputy director, will assume his responsibilities as acting director, and Sam Waldon, the division's chief counsel, will serve as acting deputy director after Grewal departs ...

A financial advisor with Ameriprise Financial Services is facing a lawsuit accusing him of costing a client hundreds of thousands of dollars in damages as a result of a recommendation to switch ...

Morgan Stanley Wealth Management, in its freshly announced 2025 advisor compensation plan, has doubled down on the firm's efforts to grow assets organically through referrals across business lines.