Industry

While many courts and private arbitration forums have already opened, FINRA continues to postpone in-person arbitration, keeping investors from recovering their losses, PIABA argues in a recent letter.

Creative Planning expands its Midwest presence with the acquisition of Indianapolis-based, $320 million AUM Castle Wealth Advisors.

The investment firms are buying the company from backers including Genstar Capital, Aquiline Capital Partners and Atlas Merchant Capital.

Wealth Enhancement Group’s acquisition of Pillar Pacific Capital Management is the firm's first in California and gives it the ability to serve Mandarin-speaking clients.

The mergers, acquisitions and advisor moves you may have missed the week of April 19, 2021.

The stake from Los Angeles–based Leonard Green & Partners will help the $40 billion AUA RIA further expand its market reach.

Sequoia Financial’s latest acquisition increases its AUM to $7B.

Private equity firm Golden Gate Capital approached Avantax last week, Bloomberg reports, but it's unknown whether the firm will consider a deal.

Advisor Services Exchange, the enterprise-level collaboration between Envestnet and Dynasty Financial Partners, is introducing an outsourced CFO capability for all advisors.

The results deal a blow to RIA and investor Ancora, which launched a proxy battle with Blucora, parent of broker/dealer Avantax, in mid-March, seeking four seats on the company's board.