Custodians/Fee Only

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SEC Adopts Rule To Help Stem Meme Stock, Crypto Meltdowns

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Commissioners voted 3-2 to shorten the time between when a securities order is placed and when a trade is executed.

Crypto Platforms' Ties To Hedge Funds Under Fire In SEC Rule

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Based upon how crypto platforms generally operate, investment advisers cannot rely on them as qualified custodians.

Two Firms Launch Partnership To Help RIAs With Growth And Succession Planning

by FA Staff

Advisors on the TradePMR Fusion platform will have access to new tools to enhance their firms.

Sanctuary Wealth Replaces Jim Dickson As CEO With Adam Malamed

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The move was described as part of Sanctuary's plan to embark “on the next stage of growth."

Focus Financial Considering $4.1B Buyout Offer From PE Firm

by FA Staff

The New York City-based Focus Financial Partners would become a private company if the deal is sealed.

Time Is Money To Financial Advisors, Consultant Says

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Altruist's Jason Wenk asks advisors if they are making the best use of their time.

FSI Fears DOL Will Force Independent Brokers To Become RIAs Or Retire

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If DOL forces contractors to become employees, 77% of affected advisors will open RIAs or retire, report says.

Emigrant Partners Takes Minority Stake In $2.5B Florida RIA

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Dakota Wealth Management in Palm Beach, Fla., was founded by veteran RIA acquirer Peter Raimondi.

Former Advisor Ordered To Pay Retired Teacher $1.66M For 'Egregious' Behavior

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A Finra panel ruled the advisor wrongfully invested the teacher's life savings in leveraged gold ETFs.

Schwab, ABRY Acquire Minority Interests In Dynasty

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The investment come almost one year after Dynasty filed for an IPO, which got shelved by the 2022 bear market.

SEC's Sweep Of RIAs For 'Off-Channel' Communications Heats Up

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The all-out effort follows the agency's $1.1 billion settlements against 16 firms in September.

Fidelity's Mike Durbin Transitioned To Advisory Role In Reorganization

by FA Staff

Vadim Zlotnikov was appointed head of Fidelity Institutional and will focus on institutional investment management solutions.

Schwab Self-Directed Accounts Drop 3.5% In Q3

by FA Staff

The average account balance finished the quarter at $273,412, down 19.84% from a year ago.

Commonwealth Adds $750M AUM Minnesota Family Firm

by FA Staff

Ryan Financial Group, which has offices in Hibbing and White Bear Lake, Minn., was previously with Lincoln Financial Group.

How Fidelity Investments Built America's Biggest Charity

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Donor-advised funds now often come highly recommended by charitable giving experts because they convey an ability to "bunch" donations.

SEC Broke Records With 760 Enforcement Actions In 2021

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The $4.1 billion in civil penalties levied by the agency were the highest on record

Fidelity Opens Wait List For Retail Crypto Trading With Zero Fee

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The new service will offer custody and trading for bitcoin and ethereum.

Schwab Targets Labor Day 2023 For Completing TD Ameritrade Migration

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Client and advisor data conversions will be the last piece of the merger, company executives said.

Fidelity Says More Institutional Investors Are Holding Crypto

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A Fidelity study hints that institutions are warming up to digital assets.

Fidelity On Track To Hire 16,000 This Year, Offers Free Tuition As Perk

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The firm met its goal of hiring 12,000 new employees by the end of the third quarter.

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