After passing $7 billion AUM in 2024, ASN adds two teams and another $135 million in assets.

Christopher Turean used the money he embezzled from an unnamed client to gamble and pay down a home equity loan, according to the Department of Justice.

The wirehouse claims that Zak Gardezy resigned from the firm and began soliciting former clients originally referred from Morgan Stanley’s E*Trade division.

Lynette Ancona will be part of Raymond James’ employee advisor channel. Previously, she was a branch-based advisor with Charles Schwab.

Hobby comes over from Fidelity Investments, where he served as the head of distribution for private wealth management, executive services, workplace planning and advice and stock plan services.

The trio of Sarah, William and Dexter Grafton will form Grafton Wealth Advisors by joining LPL's independent broker/dealer channel for advisors from wirehouses or full-service firms.

The Chicago-based RIA claims Lars Knudsen broke his non-compete agreement several weeks after he was let go for bringing a gun to work, among other allegations.

Advisor Nolan Venable and his team have left Osaic after 26 years for the stability of LPL.

The trio of advisors will form THG Retirement Solutions of Raymond James in the firm's employee advisor channel. The move came after the firm announced CFO Paul Shouky would succeed Paul Reilly as CEO.

A decade into her reign, Johnson is reasserting control over the US fund giant’s London outpost. Heads are rolling.