Patrick Egan’s interim suspension went into effect on June 21. Egan is a representative with the California-based firm Western International Securities, which was also named in the SEC's complaint.
Captrust's Rick Shoff talks about the future of financial advisors partnering with retirement plan advisors.
MAI Capital Management absorbs a Cleveland team with $368 million in AUM.
The wealth unit plans to double client assets under management for private market investments and expand programs that focus on sustainability and the next generation set to inherit wealth.
Alaris Acquisitions CEO Allen Darby discusses the current state of M&A activity and valuations and offers perspectives on how the remainder of 2022 will take shape.
The president and CEO of Dynasty Financial Partners discusses the history and ecosystem of the independent financial advisor movement.
Hybrid wealth management firms combine to form $350 million AUM RIA serving North Texas and Oklahoma markets.
The DOJ charged Martin Ruiz for stealing client funds, using the money for personal expenses and renting New York City apartments.
HIghtower's Wichita, Kan.–based wealth management firm more than doubles partners with next-gen promotions, plans one-to-one mentorship program.
Family offices tend to fare better.
