The IBD hopes to forge deeper relationships with its advisors via events, networking experiences and technology.

The New York–based team from Fieldpoint Private Securities takes its $230 million in client assets to the Sanctuary platform.

The firm recommended investments in share class options for clients in its wrap account programs when more affordable options were available, according to the commission.

MAI Capital Management rounds out its sports and entertainment arm with the addition of Intersect Wealth in San Ramon, Calif.

Seattle is the latest metro area where the brokerage has opened a multi-advisor office; but the firm expects to take its teaming model to small, rural locations—Edward Jones’ bread and butter—too, says Managing Partner Penny Pennington.

The state’s Securities Division released its “Ongoing Financial Planning Guide” earlier this year to address what it said were the compliance questions raised by the increased popularity of the subscription model compared to AUM-based fees.

$10B AUM Sequoia Financial Group will be the first RIA to use CogniCor's AI-enhanced workflow automation tools.