The deal also includes Hibiscus Investments, Landsberg Bennett’s sister brand that serves mass affluent clients—and a structure for a potential next generation training program to the broader Hightower, according to the announcement.

TCFG's advisory clients paid fee markups as often as 60% of the time in more than 10,000 executed transactions over the course of several years, according to the SEC complaint.

In a rapid series of deals, Focus Financial's shared services platform, Connectus Wealth Advisers, acquired U.K.-based Trident Financial Planning Limited, Massachusetts-based New England Investment & Retirement Group and Australia-based MISSO...

More than half of the firm's employees will be expected to work in the office at least three days a week.

Naseem Mohammed Salamah is charged with stealing nearly $970,000 from three elderly clients and spending the funds on vacations and luxury car leases.

The danger of self-directed IRA scams heightened during the pandemic, as many investors were at home and online but isolated from in-person interaction, NASAA says.

Franklin Templeton joins a wave of deals in the direct or custom indexing space, with its plan to acquire O'Shaughnessy Asset Management and its custom indexing platform, Canvas.

The deal with QCI Asset Management represents WEG’s largest yet, bringing its total client assets to over $50 billion, and marks its first foray into western New York.

Dallas-based Quest Capital Management’s shareholders and 17 staff members will join Mercer Advisors, in the RIA’s second transaction this week.

The Public Investors Advocate Bar Association (PIABA) found that 24% of money awarded last year went unpaid; the group argues the problem of unpaid arbitration awards could get even worse in a down market.