The commission argued that ARS Capital Advisors failed to deliver the disclosure document to clients by the June 2020 deadline.

Regulatory uncertainty and internal compliance cloud expansion plans.

Your investment robo-advisor won’t see you now.

A federal judge denied the SEC's appeal for summary judgment, arguing the regulator has not shown CapWealth made any 'material misstatement or omission.'

Ernie Garcia II and Ernie Garcia III have lost more than $11 billion combined so far this year.

The R.B. Mitchell Team will be the anchor tenant for a new Linsco office in Greensboro, N.C. The deal is the latest in a number of recent additions to LPL’s employee channel.

A new report analyzing transactions in the RIA space for the first three months of 2022 showed the second-strongest quarter on record, behind 2021 Q4, though the number of deals dropped in February and March.

Chad Keeler and Brock Rouch are partners in the new independent practice Platte River Private Wealth. The duo are also brothers-in-law and manage about $380 million in assets.