According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.

While most advisors successfully adapted to remote work and saw their AUM rise during the pandemic, nearly 3,000 took PPP loans.

The settlement order against J.W. Cole Advisors is another in a line of actions brought against firms that failed to disclose the conflicts during the commission’s Share Class Selection Disclosure Initiative.

A Merrill Lynch research project finds different priorities and values among these demographic groups when it comes to wealth planning; for advisors, better understanding can lead to better client conversations. 


Concurrent is adding Steve Bielke to beef up its recruiting efforts.

Chicago-based Ellwood Associates adds 200 clients and $85 billion in assets to Captrust Financial Advisors

The commission claims John Woods and his RIA, Southport Capital, continue to defraud clients 'on a daily basis.'

The investment from private equity firm Onex Corp., which joins TA Associates as equal capital partners in WEG, will drive the RIA's organic growth and M&A expansion, CEO Jeff Dekko says.