Industry

If states adopt the rules, they could bring the hammer down on advisors and firms that shirk paying the fines.

ARK is closing its New York office permanently at the end of October and relocating its corporate headquarters to St. Petersburg, Fla.

Mariner's latest deal expands its presence in Florida and marks the RIA’s seventh acquisition since July.

Mariner's latest deal expands its presence in Florida and marks the RIA’s seventh acquisition since July.

Teams, technology and taxes are behind the rising wave of deals, writes the president of Merit Financial Advisors.

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.

Dynasty has attracted a Colorado Springs, Colo., team with $300 million in AUM out of Northwestern Mutual with a multi-family-office offering.

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.