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The state’s Securities Division released its “Ongoing Financial Planning Guide” earlier this year to address what it said were the compliance questions raised by the increased popularity of the subscription model compared to AUM-based fees.

The firm argues David Anderson already attracted 15 former client households with about $24 million in business after moving to Stifel, according to a federal lawsuit.

Former Fieldpoint Private Managing Director Tom Hakala joins Snowden Lane’s NYC headquarters.

Mesa Pointe Wealth in Midland, Texas, becomes seventh firm to join Sanctuary's RIA platform this year.

Fidelity's well-known thought leader, who also spent years at Schwab, departs the land of custody for an 'entrepreneurial' gig.

Done keeping score, Merrill Lynch trio breaks away to launch independent Albuquerque advisory firm with Concurrent and Raymond James.

The SEC charged Dean McDermott and his firm, McDermott Investment Advisors, for investing clients’ funds in unit investment trusts with extra charges when more affordable options were available.

Carlos Kepke, who advised Robert Smith, is one of many enablers that help Americans hide untaxed billions abroad, according to the IRS.