Industry

RBC adds advisors specialized in the equine industry and socially responsible and ESG investing.

The combination is the first of its size to use LPL’s new M&A Solutions, a suite of services to help advisors navigate mergers and acquisitions from start to finish, which went live earlier this year.

After delaying reopening for face-to-face arbitration and mediation because of the COVID-19 pandemic, the regulatory agency will allow such proceedings at 62 of its 69 hearing venues starting July 5.

Citing 'fiduciary responsibilities,' Riskalyze CEO Aaron Klein is publicly targeting the 'wildly inaccurate' and 'predictive guesswork' of his competitors.

Damian Lo Basso, formerly of CFO Solutions and Dynasty Financial Partners, will be the fourth partner of Journey Strategic Wealth, launched earlier this year.

Dowling & Yahnke adds $5.6 billion in assets and 1,300 clients to Canadian-based serial RIA acquirer CI Financial.

The mergers, acquisitions and advisor moves you may have missed the week of May 3, 2021.

In a testimony before the House Committee on Financial Services, the new SEC Chair noted the regulator would evaluate Reg BI, and "update and freshen" it if need be.