Melville, N.Y.–based Keith Ryan, a former UBS advisor with $140 million in client assets, is the first to join under Commonwealth’s new pricing model for breakaway advisors.
Digital account onboarding—long promised—is a must-have for Charles Schwab, says one analyst. The firm is preparing for the feature's launch next month.
According to the regulatory agency, the California-based broker/dealer failed 'to establish and maintain a reasonably designed supervisory system' on the sale of variable universal life insurance contracts and mutual funds during several years.
Devoe & Co. CEO David DeVoe on what's driving the biggest changes in the RIA industry.
The deal represents a continuation of Stratos' acquisition strategy, which is to take nonvoting minority interests in RIAs and offer them the same infrastructure that's available to its affiliated advisors.
