Adam and Daniel Kaplan were charged with wire and investment fraud and money laundering for misappropriating at least $5 million from dozens of clients, many of whom were elderly or disabled.

The newly-appointed advice tech executive talks about how he got started in politics, how this work intersects with his new role, his thoughts on the fee-for-service model debate and his vision for the future of the advisor billing software company.

CNBC veteran has been tapped to sit on Dynasty’s investment committee and represent its $36 billion investment platform.

A commission report from last month highlights the problem of forced arbitration clauses in contracts between RIAs and clients.