The addition of Roth Asset Management is the 30th deal since Wealth Partners Capital Group took a minority stake in December 2020.

The move follows Rich Steinmeier's promotion from managing director to CEO, replacing Dan Arnold, who was terminated for cause on Oct. 1.

Since forming in late 2023, Constellation has made eight investments in firms, including one earlier this month in Cresset.

According to one expert, President-elect Donald Trump’s SEC Chair nominee may pursue cases where there is “fraud or harm” to investors rather than situations where firms fail to follow compliance policies.

RPAs need to hone their skill set.

Bradley Knapp takes over for current CEO David C. Fulton, Jr., on Jan. 1, as part of a longstanding succession plan.

Also, Apex and Nasdaq collaborate on after-hours trading, intelliflo announces a year of updates and two advisortech hires.

Sallie Krawcheck, an outspoken investing advocate for women, has stepped down as CEO of Ellevest for health reasons.

The commission charged South Carolina-based former rep Eric Cobb with defrauding clients while working for SeaCrest Wealth Management. The firm paid $375,000 to settle the charges.