The Sudol Group manages about $300 million in client assets and primarily works with clients who are 'transitioning to or already in retirement,' according to advisor Mark Sudol.
Over the last two years, Susan Schroeder has been consolidating the regulator's two enforcement groups into one.
The digital custody and clearing firm is adding to its leadership ranks.
The former Cetera Financial CEO is now operating a mortgage REIT, but not on a full-time basis.
Chicago-based Jim Walesa and New Jersey-based Rivertan Financial Group, led by Ke M. Dao, bring more than $370 million in combined assets to Arkadios.
Bluespring Wealth Partners has announced the acquisition of $800 million AUM RIA Beacon Financial Group of Texas.
Over 60% of the Microsoft founder's investments is in equities.
Scott Welch leaves Dynasty Financial to oversee model portfolios at ETF shop WisdomTree.