People

The former CEO of HD Vest came to an agreement with the $60 billion RIA late last year.

After selling LearnVest to Northwestern Mutual in 2015 and then working as the firm’s first innovation officer, von Tobel is leaving the insurance company to start a new venture.

Self-aggrandizement or science? Why not both?

Florida-based Dakota Wealth Management now has $700 million in AUM.

Former Ladenburg Thalmann Chairman Phillip Frost has agreed to pay a $5.5 million penalty to settle SEC charges against him.

“It was a tough year in financial markets, but for people who are creating wealth through companies, the economy itself is very strong.“

A long, sad list.

The technology platform associated with RIAs and family offices is intent on working with bigger industry players.

The principal of investment advisory firm AdvicePeriod and author of “It’s That Simple“ on how integrated services are the future of finance, why his firm will soon roll out a trust company, and the dangers of socializing with clients.

Edmond Walters said he plans to help the firm employ technology more effectively.