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FinancialADVSR

Est. 2026Moves · Money · ManagementNew York

IN Concurrent eyes $3B to $10B RIA platforms after Spire buyFP Ask an Advisor: How do you help child-free clients plan?WM SEC Crypto Custody Proposal Draws Divisive ReactionsFP SEC seeks to ease advisors' custody burdens with discretionary tradingKC Weekend Reading For Financial Planners (October 3–4)IN Merrill to pay $39 million in cash sweep settlementWM How Far Can AI Overlays Really Go?WM Financial Wellness Tools Must Connect the DotsRB Fidelity's move to kick sub-$100-million RIAs off its platform is 'bizarre,' Kitces says; it’s likely to backfire, Chalekian says; yet, the Fidelity-Savvy deal last week may soften any blowWM Deals & Moves: HB Wealth Adds Family Trio, Hightower Signature Acquires Externally

Updated every ten minutes

The Wire

Every headline in wealth management from 8 outlets, in the order it was published. Each one links to the outlet that reported it.

  1. Enforcement · WealthManagement.com

    SEC Crypto Custody Proposal Draws Divisive Reactions

  2. Enforcement · Financial Planning

    SEC seeks to ease advisors' custody burdens with discretionary trading

  3. Enforcement · InvestmentNews

    Merrill to pay $39 million in cash sweep settlement

  4. Enforcement · InvestmentNews

    SEC accuses fund advisor of defrauding SpaceX, OpenAI investors

  5. Enforcement · InvestmentNews

    SEC alts proposals may spark compliance 'culture shock' for managers

  6. Enforcement · InvestmentNews

    SEC bars NY advisor who allegedly defrauded elderly client of $2.4 million

  7. Enforcement · InvestmentNews

    Fake signals, frozen accounts: SEC sues crypto AI platform over $12.5M

  8. Enforcement · InvestmentNews

    Third Circuit scraps 30-year stock-price test in securities fraud case

  9. Enforcement · WealthManagement.com

    Compliance Experts Caution Regulators After AI Agents Probe SEC

  10. Enforcement · Financial Planning

    SEC rule would let investors take exam to qualify as accredited

  11. Enforcement · WealthManagement.com

    The False Positive Problem Wealth Managers Can’t Afford to Ignore

  12. Enforcement · InvestmentNews

    Stifel settles massive $30 million complaint involving star broker’s sale of structured products

  13. Enforcement · InvestmentNews

    SEC floats CFP route to accredited investor status, fund rules refresh amid private market push

  14. Enforcement · WealthManagement.com

    Wall Street Regulator Moves to Expand Access to Private Funds

  15. Enforcement · WealthManagement.com

    SEC Charges Firms With $15M WhatsApp, Crypto Frauds

  16. Enforcement · WealthManagement.com

    FINRA Bars Former LPL Rep For Taking $1.7M From Clients

  17. Enforcement · RIABiz

    SEC seeks to rescind 2010 'pay-to-play' rule, paving the way for investment advisors to again bid for public pension contracts while making political donations to officials with influence over pension awards