The company’s registration statement for the listing has been declared effective by the SEC.

SEI had weeks without competition to review Oranj tech, which will be melded into SEI's Wealth Platform.

The advisors come from Kestra Investment Services, Key Investment Services, Bank of America Merrill Lynch and UBS Financial Services.

The deal between Investment Counsel and LaFleur & Godfrey will mark the latter's second transaction in the past 12 months, and comes after Focus partner firms had a busy 2020 in M&A activity.

Stifel is working to revitalize its sleepy independent broker/dealer, Century Securities, starting with a rebrand and a new chief, former Wells Fargo exec Alex David.

The SEC claimed Douglas Elstun put clients' long-term money in high-risk leveraged and inverse ETFs, funds meant for short-term trading. He was trying to 'please too many people,' his lawyer said.