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 ...

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 ...

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 ...

Cerity Partners’ latest deal plants a flag in New York’s Capital Region with the acquisition of Graypoint, an Albany-based $4.5 billion firm. As a part of the deal, President and CEO Daniel Nolan will ...

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, ...

A New Hampshire-based RIA with $1.6 billion in managed assets is joining New England Private Wealth Advisors, an Aspen Standard-backed Boston-based firm. With the acquisition of DHK Financial Advisors ...

Stifel Financial Corp. is looking to expand the use of its asset management capabilities among financial advisors by hiring Merrill Lynch veteran Launny Steffens to a newly created role as vice ...

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 ...

The registered investment advisor space has seen some new entrants in recent days, with advisors breaking away from insurer Northwestern Mutual, wirehouse Merrill and RIA Hightower, and one Raymond ...

In the race for scale in the registered investment advisors space, Miami-based Corient is going to Europe for growth by acquiring two U.K.-based wealth managers overseeing a combined $214 billion in ...

Vanguard’s advisory division will pay over $19 million to settle Securities and Exchange Commission charges that it didn’t disclose to clients that its advisors had financial incentives to funnel them ...

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 ...