Former Credit Suisse wealth management head Francesco de Ferrari remains as an advisor to UBS’s private banking head Iqbal Khan.

The commission's warnings are the first following the date firms were expected to be in compliance with the rules.

Cetera announced its first nonhybrid RIA acquisition this week, while Hightower and Wealthspire both added a billion dollars in assets and Mercer, Kestra and tru Independence all announced deals.

A new board, independent of TIFIN, has been created.

Also, Vinay Mehta was appointed CTO at Smarsh, Archer and Brooklyn Investment Group partner to provide AI-powered custom direct indexing and ReachStack launches AI-powered Advisor Sales Intelligence.

Since January, Atria has lost five recruiters, including Gary Bender, who was brought on in April 2022 as head of recruiting.