The advisor moves and acquisitions you may have missed the week of July 15, 2021.

Dane Roseman and Ivan Acevedo pleaded guilty this week for their roles in the $1.3 billion Ponzi scheme that affected some 9,000 investors.

The longtime Morningstar exec has now departed Apex Fintech Solutions after less than a year formally with the firm.

Net new assets at Charles Schwab have been driven by an 'omni-channel approach' that involves its TD Ameritrade and USAA acquisitions, as well as extensive branch reopenings.

The actively managed JFWD will invest in “innovative, forward-thinking companies that the team believes are leveraging technology to create significant competitive advantages.”

The broker/dealer’s new Resilience Plan will support advisors’ books of business if they choose to take a leave of absence, such as for the birth of a child, personal illness or injury.

Insigneo’s latest recruits from Wells Fargo include Isadora del Llano, Yzana Oestreicher, Maria Garcia and Nilia Gasson.

Hybrid b/d and RIA Cascade Investment Group recommended high-fee mutual fund share classes when cheaper options were available and failed to disclose the fact, the SEC claims.