TD Ameritrade's study finds that the median age of RIA firm principals is now 49, down from 52 in 2015. The number of owners who are 40 years of age or younger equals the number of firm owners who are over 60.
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TD Ameritrade's study finds that the median age of RIA firm principals is now 49, down from 52 in 2015. The number of owners who are 40 years of age or younger equals the number of firm owners who are over 60.
Amidst swirling speculation regarding its connections with a client linked to the Prophecy Asset Management collapse, B. Riley Financial Inc. has conducted an internal
review, concluding no affiliations with the defunct hedge fund.
A recent analysis by Golsan Scruggs reveals a staggering 231 percent increase in errors-and-omissions (E&O) liability claims among registered investment advisor (RIA)
insurers.
According to a recent analysis, Reg BI-related actions quickly have ascended to the top five issues for FINRA, with fines totaling $6 million in 2023.