Savant Wealth Management, Moneta Group Investment Advisors and EP Wealth Advisors lead a group of fee-only firms with ...

On November 17, 2025, the SEC’s Division of Examinations released its 2026 Examination Priorities (“Priorities”).  Despite a shift in “tone at ...

Outsourcers devote 63% of their time on client-facing activities and predominantly work with clients that have less than $2 ...

Understand what fiduciary duty entails and why it matters when selecting the right expert to manage your money ...

An RIA provides investment advice to clients. RIAs are required to register with either their state or the SEC. Some RIAs are full-service firms that offer comprehensive financial planning. Financial ...

On September 30, 2025, the staff of the SEC’s Division of Investment Management issued a no-action letter permitting registered investment ...

LPL Financial acquires minority stake in Private Advisor Group, deepening a 28-year relationship while PAG's leadership team ...

With the 2024 U.S. presidential election approaching, many registered investment advisers are not worried about a significant equity market downturn over the next 12 months, but they do expect the ...

Explore the 10 best robo-advisors of 2025, compare fees, features, and investor types to find the right automated investing ...

Advisers should put no price targets on an investment a client owns and give no forecasts of anticipated performance Advisers need to clearly distinguish between fact and opinion. When you meet with ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

The five largest Registered Investment Advisers based in the Charlotte area each manage over $100 billion in assets. Information on The List was obtained from Securities and Exchange Commission data ...