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The commission alleged two advisors defrauded clients by allocating unprofitable trades into their accounts, netting millions in "illicit" profits for themselves.

Caitlin Douglas, former managing director of transition services and co-head of service at Dynasty Financial Partners, has joined Jim Dickson's new firm to lead operations and service.

The Canell Group includes the sibling advisory duo Jay and Neil Canell. They’re joining Wells Fargo’s Private Client Group along with four advisors and support staff.

Diamond will also serve as Chief Growth Officer for Gries’ parent company, The 4100 Group Financial Services.

In a WealthManagement.com interview, Price also said he didn’t expect PE backer Reverence Capital to sell a majority stake in Osaic “any time soon.”

TAG Intel is led by Jack Devine, a 32-year veteran of the CIA, who aims to democratize the information he’s been bringing to global corporate clients since 2000.

Elizabeth Hioe, a former McKinsey executive, replaces Martine Lellis, who was promoted to principal of M&A partner development in May.

Debra Brennan Tagg was with Osaic for 25 years before jumping to NewEdge.

Ongoing efforts to consolidate and integrate tech at Envestnet continue; d1g1t adds billing and Vise new hire and new advisors.