Fintech platform Alphathena has partnered with the recently launched registered investment advisory firm Rossby Financial to offer Rossby's financial advisors access to direct indexing capabilities ...

The private equity industry will start lobbying once it's clear who's heading the SEC and the DOL, according to Bloomberg. The administration of President-elect Donald Trump is expected to be more ...

The deal, which will further engrain Robinhood into traditional wealth management, is valued at around $300 million. Zero-commission pioneer Robinhood Markets is taking a big swing at the registered ...

Morgan Stanley expanded its capabilities in the workplace space when it acquired the stock plan management firm Solium Capital in 2019 for $1.1 billion, rebranding it as Shareworks, according to the ...

Advisor technology firm Envestnet has announced enhanced custodial features on its Tamarac customer relationship management platform for advisors managing Charles Schwab accounts. The firm touted a ...

New York City maintains its position as the center of the U.S. securities industry, but cost pressures and shifting work patterns have eroded its share of the industry’s head count.

FMG Mobile, an AI-powered social media assistant, helps advisors create social media posts. The app allows advisors to use content reviewed by the Financial Industry Regulatory Authority as well as ...

Edward Jones is expanding its physical presence in New York with a new office in Manhattan. The company has "been testing a new multi-use real estate option in New York City," Edward Jones said in an ...

Trump has vowed to cut taxes and regulations but has yet to name his pick for chair of the SEC, according to Reuters. The president-elect said in June that he would sack Chair Gary Gensler immediately ...

The Financial Industry Regulatory Authority has proposed raising annual member fees on firms with revenue of more than $1 million, in a bid to support the industry self-regulator's operations from ...

A former Wells Fargo Advisors branch manager in California has sued the firm and her former supervisor, alleging that Wells condoned a sexist work culture he created and fired her in retaliation when ...

Ron Carson, the founder, chairman and former chief executive of Carson Group, is officially changing his name to Omani Carson.