SEC Fines Zoe Financial $450K Over Conflict of Interest Charges
The RIA didn't disclose conflicts tied to its wealth platform, which incentivized referrals to advisors using the service, regulators said.
Category: Wealth
Vibe Coding Didn’t Cause the Hugging Face Attack. It Explains Why Nobody Saw It Coming.
An AI agent breached Hugging Face by exploiting unreviewed code paths, revealing how prompt-driven development creates security blind spots in wealth management systems.
Why RIA M&A Deals Keep Getting Bigger, and What It Means for Your Firm
Advisory businesses are becoming larger enterprises with professional management teams and specialized staff, driving bigger transactions beyond just capital influx.
Insurer and Wealth Manager HUB Rebrands Ahead of Planned IPO
Hub’s rebrand aims to elevate its $207 billion workplace and individual wealth division in the marketplace, as well as its insurance and employee benefits…
SEC Commissioner Hester Peirce To Resign This Week
The SEC commissioner is departing the regulator to become a professor at Regent University, leaving the agency with just two Republicans and no Democratic…
Developing Advisors Who Stay
The FinServ Foundation fellowship prepares the next generation of financial planners for long-term success.
Major Obstacles Inhibit Widespread Adoption of Retirement Income in DC Plans
Why the industry is still dancing in the dark and how to reach critical mass.
Views from 6,230: New Opportunities Emerging in Municipal Bonds
Mainline West's Brad Kreidle discusses navigating the large, fragmented municipal bond market.
DTCC Invests in iCapital, Announces Partnership
The collaboration will involve transaction processing, data exchange, reporting and other functions.
Q&A: Charlesbank’s David Katz on Building RIA Institutions
The private equity firm's managing director believes the next chapter for wealth management platforms will be about building cohesive units, rather than aggregating assets.