The pardon of David Tamman was one of more than 140 pardons and commutations the outgoing president announced shortly before the end of his tenure and Joe Biden's inauguration.

Advisors Michael Brown and Brian Flynn have left Magnus and teamed up with practice management coach Penny Phillips to create Journey Strategic Wealth, a new spin on the aggregator model.

Commonwealth’s new Business Consulting Services will provide dedicated transition support for advisors leaving the wirehouses to go independent.

The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.

The Salvino family has launched Performance Wealth, a registered investment advisor with $2.2 billion in client assets.

Merrill advisors made tail winds with deposits, client balances, assets under management and private banking loans.