Industry

The New York–based team from Fieldpoint Private Securities takes its $230 million in client assets to the Sanctuary platform.

The firm recommended investments in share class options for clients in its wrap account programs when more affordable options were available, according to the commission.

MAI Capital Management rounds out its sports and entertainment arm with the addition of Intersect Wealth in San Ramon, Calif.

Seattle is the latest metro area where the brokerage has opened a multi-advisor office; but the firm expects to take its teaming model to small, rural locations—Edward Jones’ bread and butter—too, says Managing Partner Penny Pennington.

$10B AUM Sequoia Financial Group will be the first RIA to use CogniCor's AI-enhanced workflow automation tools.

Title protection, which is supported by 78% of FPA members, would create minimum standards for the use of the term "financial planner."

In the latest RIA Deal Book, DeVoe & Company sees resiliency in mergers and acquisitions activity.

The Momentum platform adds specialized advice around career milestones, family changes and issues of diversity.

The firm argues David Anderson already attracted 15 former client households with about $24 million in business after moving to Stifel, according to a federal lawsuit.