Concurrent Investment Advisors, a hybrid registered investment advisor with a 1099 affiliation model, has made a minority investment in a Longboat Key, Fla.-based asset manager. Concurrent, which is ...

The founder of an advisory firm who claimed that artificial intelligence powered his hedge fund will spend 30 months in prison for defrauding investors of over $5.7 million. Tampa, Fla.-based Mina ...

(Bloomberg) -- Vanguard Group has filed plans with the Securities and Exchange Commission for its priciest exchange-traded funds yet as the asset management giant seeks to beef up its actively managed ...

Kestra Financial and Raymond James have won several of what recruiters are characterizing as relatively early battles in the recruiting drive for Commonwealth advisors. Kestra, a subsidiary of Kestra ...

Cresset, a $72 billion registered investment advisor based in Chicago, announced plans to merge with Monticello Associates, an employee-owned institutional consulting firm with $124 billion in assets ...

Main Street Financial Solutions, a Newtown, Pa.-based RIA with $2.5 billion in client assets, has launched a three-person RIA of former wirehouse and broker/dealer employees based in Malvern, Pa., ...

Microsoft recently released a report on the jobs most likely to be replaced by artificial intelligence, and personal financial advisors landed at No. 30 on the list of 40, with a high AI applicability ...

Authorities arrested a Florida man for allegedly swindling over $600,000 from 11 investors, according to New York Attorney General Letitia James. James claimed Marc Henry Menard’s three-year ...

Osaic, the private equity-backed independent broker/dealer that recently completed a multi-year consolidation of several acquired BDs, is now focused on its next challenge: Building out affiliation ...

IN THIS ISSUE: THE RUNDOWN: Tax Law Update, Tips From the Pros and Technology FEATURES: Estate Planning & Taxation and Fiduciary Professions COMMITTEE REPORT: Elder Care / Special Needs and Ultra ...

Creative Planning, the mega-registered investment advisor based in Overland Park, Kan., has acquired a team in Hawaii overseeing $430 million in client assets. Mosaic Pacific, founded in 2014 ...

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