The deal means a return to Homrich Berg, where Calvary’s founder Bill Cleveland worked early on in his career.

The Oregon quartet specialized in retirement planning manages around $230 million in client assets.

In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.

Mercer is expanding its footprint in California and Texas and bolstering its estate planning capabilities with two deals announced this week.

Rothschild Investment Corporation said it plans to continue in the M&A market, adding up to $1 billion in AUM annually.

The deal could be the first of several in the lead-gen, referral and marketing space that seeks to add reviews and ratings tech.

All of CI Private Wealth's offices will now operate as Corient, the brand of one of its acquired firms. CI wants to integrate all of its acquisitions into one RIA.

John Woods already pleaded guilty to federal charges that he raised more than $110 million in a Ponzi scheme. Plaintiffs in a suit against Oppenheimer & Co. claim the firm failed to protect his clients.

Burney Company, a Virginia-based RIA with $2.4 billion in assets, has added Goldman Sachs Advisor Solutions’ custodial service to expand access to alternative investments.