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RB Referral vendor Zoe Financial rewrites its ADV2 for fee hikes in its RIA TAMP that follow a censure, cease-and-desist order, and $450,000 civil penalty to atone for conflict disclosure failures in how it wears both hatsFP A guide to getting AI buy-in as RIAs look to scaleIN TCW’s TPAY private asset income fund set to hit AUM milestoneIN Advisor moves: Raymond James lands $460M father-son team from Wells FargoIN Schwab CEO says firm is blocking rogue AI agents from client accountsIN Best Practices in AI Compliance: How Real Firms Are Making the CallIN Wealth firms moving upmarket face tough talent and outsourcing callsIN Schwab IMPACT 2026 full conference coverageWM Schwab Offers Credit to RIAs to Prompt Use of Claude AI Enterprise PlanIN These are the questions advisors need to ask to ride the AI wave

Regulation

Referral vendor Zoe Financial rewrites its ADV2 for fee hikes in its RIA TAMP that follow a censure, cease-and-desist order, and $450,000 civil penalty to atone for conflict disclosure failures in how it wears both hats

By Oisín Breen · RIABiz ·

The New York City firm pivoted its business model in 2023 by moving up the value chain to financial advice, only to be tripped up by SEC disclosure rules.

Summary as published by RIABiz
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