Focus makes moves in Canada and tweaks its global leadership team as it seeks to increase the percentage of revenues earned from international markets.

Quental was the former CEO of J.P. Morgan Securities; his death comes just weeks after his tech startup announced an initial seed round of funding from a long roster of well-known RIA leaders.

Moody’s assigned a B2 rating to the notes and changed its outlook on the firm from stable to positive, saying the benefits of higher interest rates will offset the additional debt.

Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.

The Jacobi-Hakala Group has been formed under Snowden Lane Partners, reuniting two long-time colleagues.

A recent capital infusion from LNC Partners will support continued growth for GCG Advisory Partners as a newly incorporated holding company focused on advisor succession.

While representatives of the Institute for Portfolio Alternatives warn of the proposal’s 'chilling effect' on brokers, state regulators are asking why REIT customer complaints remain elevated.

The firm had net new assets of $185 million during the quarter and reported total client assets of $76.5 billion, down from $86 billion a year ago.

On the heels of Q2 earnings report, Focus Financial launched partnership with Community Capital Technology for client lending.