Last week, GTCR, the Chicago-based private equity firm, announced the close of its acquisition of FMG, the marketing technology company for financial advisors. As part of its Leaders Strategy program, ...

Charles Schwab is growing its brick-and-mortar presence to provide wealth services to retail clients. The financial services and custodial giant said Wednesday it has already opened a handful of what ...

Creative Planning, the Overland Park, Kan.-based registered investment advisor with more than $370 billion in assets under management and advisement, has agreed to acquire SageView Advisory Group, a ...

Wells Fargo continues its push to bring advisors to its independent contractor channel with an 11-person advisor team based in Indianapolis that has broken away from Ameriprise. Managing partners ...

Marshberry, an Ohio-based M&A consultancy active in the insurance and wealth management sectors, is slated to become part of investment bank and advisory Lincoln International. Chicago-based Lincoln ...

The U.S. Department of Labor has sided with Morgan Stanley and several FINRA arbitration decisions in a dispute over whether its deferred compensation program should be treated like a pension or a ...

Raymond James has filed a lawsuit against the husband of an advisor, who passed away suddenly in March, for refusing to return her company laptop and sending letters to clients soliciting them on ...

Alternative investment platform iCapital formed a strategic partnership and announced an investment in Tangible Markets Ltd., a firm that focuses on providing liquidity for private market investments, ...

An Ohio federal court has dismissed a complaint brought by mega-RIA Mariner Wealth Advisor against upstart Savvy Advisors for allegations of poaching advisors without “regard to contractual obligation ...

Private equity is steadily encroaching on the RIA industry’s middle market, as PE-backed firms now own nearly one-quarter of the industry’s total assets in that segment. According to a new analysis ...

Modern Wealth Management, a $10 billion registered investment advisor based in Monterey, Calif., has acquired Public Safety Financial/Galloway, a firm that works with police officers, firefighters, ...

Ryan Beach, who most recently served as the CEO of advisor technology consultancy F2 Strategy, has joined the global wealth management platform provider FNZ as group head of North America. Based in ...