Saturday, October 3, 2026Sign inJoin free
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

Regulation Correspondent

Theo Marsh

SEC, FINRA, enforcement and the courts

Theo covers the rules and the referees: SEC and FINRA actions, arbitration, litigation and the policy changes that land on advisors’ desks.

Latest from Theo

The full newsroom →

  1. Enforcement

    SEC accuses fund advisor of defrauding SpaceX, OpenAI investors

    The Securities and Exchange Commission alleged that investor money was diverted to personal expenses including strip clubs and exotic cars.