triagen-team.jpg
California Team Leaves UBS and sets up RIA TriaGen
Jun 01, 2020
The four-person team led by father and son Nick and Bryan Garris has left UBS and set up shop in Calabasas, Calif.
2012 AUM 725 billion 2011 AUM 638 billionAUM per Advisor 502 million
Commonwealth Adds $230M Ohio Firm
Jun 01, 2020
The fee-based firm works with public company executives.
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Celebrity Estates: Mitzi Perdue on How to Make a Family Business Last
Jun 01, 2020
Mitzi Perdue, the daughter of Sheraton Hotels' co-founder and wife to the late chicken icon Frank Perdue, shares advice on how to develop a culture that supports keeping the business in the family.
LaSalle Street Securities
LaSalle St. Securities Snags $600 Million Team From Cambridge
Jun 01, 2020
Stiles Financial Services in Edina, Minn. joins LaSalle after a decade with Cambridge Investment Research.
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FPA, CEO Lauren Schadle Part Ways
May 29, 2020
While reasons for her exit were not provided, a long decline in membership, organizational SNAFUs have occurred under her watch.
Bill Ackman
Those Astronomical Returns Aren't What They Seem
May 29, 2020
Many of the big gains reported by so-called tail risk funds and others are being presented in a misleading way.
CFP Board office.
CFP Board Unveils Revised Procedural Rules
May 29, 2020
The new rules will go into effect on June 30, the same day that the board will begin enforcing its Code of Ethics and Standards of Conduct, according to the board's general counsel.
FINRA
Stifel Settles With FINRA For More Than $3 Million Over UITs
May 28, 2020
FINRA has order Stifel Nicolaus to pay customers over understated fees related to early rollovers of UITs.
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