Paul Lofties, who had been with Securities America since 2003, left the firm in December, and plans to join an advisor coaching and consulting firm.
Morgan Stanley’s wealth management client assets were nearly $4 trillion at the end of the fourth quarter 2020, up 48% year over year, according to an earnings report.
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.
Medical doctors did not take advisor Douglas Duerr’s health warnings seriously. But it’s a good thing he did.
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.
