SEC filings

Primary sources only: what the SEC filings say, what changed, and why it matters. 2 stories this week · 36 total.

Latest from SEC filings

Heppner sentencing adjourned without new date as new counsel takes over

A Manhattan jury convicted the former GWG Holdings and Beneficient chairman in May on four counts tied to more than $150 million extracted from GWG, which went bankrupt in 2022.

By the SEC filings deskOct 23, 3:35 p.m. ET

$39MMerrill's cash-sweep payments, with Schwab's for scaleInvestmentNews · SEC settlements and court filings, 2022–2026

Merrill Lynch agrees to pay $39 million to settle cash sweep class action

The preliminary settlement, filed late Wednesday, covers Merrill Edge accounts from 2016 to 2020 and adds to a $25 million SEC penalty over advisory account interest.

24 days ago

SEC private-market proposals draw compliance warnings from ACA Group and STP consultants

The package would cap performance fees at 20% of a fund's net gains, require findings by a board with an independent majority, and let interval funds offer monthly repurchases.

25 days ago

AlpInvest files Form Ds for onshore Secondaries Fund IX and credit-secondaries sidecar

Neither Form D states an offering amount, and both list $0K sold to date.

27 days ago

Long reads

Original analysis from PWD Editors, built from our data and many sources.

All long reads

The Week in Wealth

The Week in Wealth: Consolidation Runs on Debt, Teams and Metered AI

The week's deal, movement and flow data show consolidation and recruiting still running, but leverage, custody minimums and metered vendor costs are shifting the bill to RIAs.

6 min readOct. 26, 2026

The Week in Wealth

Wealth firms bought capacity, not size, in a 19-deal week

A $714 million median disclosed deal, $6.8 billion of moving advisor books and Mariner's $150 million loan add-on show financing and integration setting the pace.

5 min readOct. 26, 2026

PWD Deep Dive

A buyer's deal pipeline is not collateral for an RIA sale

Wealth managers announced 156 deals and closed 50 in 90 days. Sellers should price the buyer on closes, committed capital and who stays.

8 min readOct. 26, 2026

Latest from SEC filings

Long reads

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