Ancora President Fred DiSanto
Focus Acquires Cleveland-Based Ancora
Sep 01, 2021
Ancora, which recently waged a public proxy battle against Blucora, the parent company of Avantax, becomes the seventh partner firm to join Focus this year.
orion.png
Orion Serves Up Behavioral Finance, Cash Management
Sep 01, 2021
Orion is pushing deep into behavioral finance with a new technology-backed take on planning.
susan-theder-headshot.jpeg
Exclusive: Advisor Group CMO Susan Theder Departs to FMG Suite
Sep 01, 2021
Theder will be joining FMG Suite, the advisor marketing platform that powers Advisor Group’s MyCMO offering, as CMO and chief experience officer, effective Sept. 7.
SEC seal
SEC Accuses Couple of Fleecing Investors in $17.6M Ponzi Scheme
Aug 31, 2021
The couple, who also took out a PPP loan, told investors they were managing foreign currency funds that would earn them at least 10% annually.
sec-building-new.jpg
SEC: Mass. Firm Failed to Disclose Cash Sweep Conflicts
Aug 31, 2021
Cantella & Co., a dually registered firm with more than $2 billion in assets under management, allegedly recommended money market funds without disclosing revenue-sharing payments.
AdvisorInnovationsBB-800x400.jpeg
Advisor Innovations: Greg Friedman and Cynthia Greenfield on Why Culture Matters in RIA M&A
Aug 30, 2021
Private Ocean Wealth Management's Greg Friedman and Cynthia Greenfield discuss their recent book and their own experiences—both good and bad—maintaining their company’s culture during a merger or acquisition.
cybersecurity illustration computer with shield
SEC Charges Eight Firms for Cybersecurity Shortfalls
Aug 30, 2021
According to the commission, the firms' faulty cyber policies and procedures didn't protect private client information after third parties fraudulently took over company email accounts.
Jim Gold
Q&A: Steward Partners' Jim Gold
Aug 30, 2021
Fresh off a capital infusion from the Pritzker Organization, Steward CEO Jim Gold, Goldman Sachs' first RIA custodial client, is looking to invest in other RIAs.
doj-seal-big.jpg
Former 1 Global Capital COO, Securities Attorneys Sentenced in $320M Fraud
Aug 30, 2021
The sentencings mark the latest developments in the long-running legal case involving 1 Global, which is accused of defrauding 3,600 clients out of $320 million.
Load More