RIAs & Financial Advisors
SEC Fines Nine Firms for Marketing Rule Violations
The Securities and Exchange Commission has fined nine more registered investment advisory firms ove...Read more
Modern Wealth Expands into Iowa with $205M Midwest Financial Acquisition
Registered investment advisor Modern Wealth Management has made its fourth deal since launching in ...Read more
LPL Financial Recruits $280M Missouri Wealth Team
LPL Financial recruited Legacy Wealth Advisors, a $280 million Town and Country, MO–based financi...Read more
TMI Holdings Merges with Louisiana RIA
TMI Holdings, a Tampa-based trust company, completed its merger with Argent Financial Group, a Loui...Read more
Crescent Grove Advisors Unveils Alts Investment Firm for HNW Clients
Crescent Grove Advisors, a $4 billion registered investment advisor, established a new asset manage...Read more
Pontera Adds Summit Financial to 401(k) Management Platform
Pontera, a fintech firm that connects financial advisors with clients’ retirement saving accounts...Read more
Wells Fargo Fined $35M by SEC for Overbilling Advisory Clients
Wells Fargo Clearing Services and Wells Fargo Advisors Financial Network were fined $35 million by ...Read more
LPL Financial Nabs $1.5B Advisory Team from Rival Kestra
LPL Financial announced that a $1.5 billion advisory team has joined its broker-dealer, registered ...Read more
Custodian Startup Altruist Launches Digital Multiple Account Openings for RIAs
Altruist, a new custodian for registered investment advisors, has added digital multiple account op...Read more