According to the commission, Alexandra H. Cock and her firm, Wealth Plus, raised more than $2.5 million in securities in two real estate investment management companies that defrauded investors of millions of dollars.
The new support platform for underrepresented advisors will offer coaching, model portfolios supported by Vanguard and Alpha Architect, and access to a tech stack that includes Altruist, RightCapital, Envestnet |...
The $3.6 billion HighPoint Advisor Group agreed to pay more than $760,000 and will also help return funds to harmed clients, according to the SEC order.
A federal judge denied the SEC's appeal for summary judgment, arguing the regulator has not shown CapWealth made any 'material misstatement or omission.'
The R.B. Mitchell Team will be the anchor tenant for a new Linsco office in Greensboro, N.C. The deal is the latest in a number of recent additions to LPL’s employee channel.
A new report analyzing transactions in the RIA space for the first three months of 2022 showed the second-strongest quarter on record, behind 2021 Q4, though the number of deals dropped in February and March.
Chad Keeler and Brock Rouch are partners in the new independent practice Platte River Private Wealth. The duo are also brothers-in-law and manage about $380 million in assets.
