Vice-President Kashim Shettima has urged regulatory agencies to eliminate overlaps and align their activities with President Bola Tinubu’s agenda for economic growth and enhance ease of doing business ...

MacQuarie Investment Management and the Securities and Exchange Commission reached an agreement to settle charges related to the pricing of collateralized mortgage obligations (CMOs) in about 20 ...

Every RIA owner will at some point need to transition their business, whether through internal succession, a sale of the business or otherwise. If ...

The live RIA Lab, titled “Uncovering RIA Practice Valuation: A Look Under the Hood” will uncover key factors and ...

Headcount and assets surged for registered investment advisory firms over the past decade, but some new wrinkles lie ahead.

Clijsters, a six-time Grand Slam champion, joins RIA’s tennis pro ambassador team, which includes fellow multi-Grand Slam ...

Peter Mallouk experienced digital disruption firsthand in his career. Tech advancements will continue to upend the RIA ...

Firm attempted to minimize losses in thousands of "odd lot" positions by executing unfavorable cross trades with retail ...

Franklin Templeton BEN, an industry leader, manages as many as 455 open-ended mutual funds, while Invesco IVZ recently ...

The country’s largest defense manufacturer is firing up its artillery with a new product line that caters heavily to the military and law enforcement markets. Armscor Global Defense Inc. (AGDI) ...

LPL Financial today announced that the Bury Financial Group, a Youngstown, Ohio-based firm with about $655 million in advisory, brokerage and retirement plan assets, has joined its broker-dealer, RIA ...

Inspire Investing, with eight faith-based ETFs and SMAs, has won numerous accolades as an up-and-coming RIA firm. The RIA ...