Tax-focused advisory Rozovics Group was previously with Cetera Financial Specialists for 17 years.

Missing life on the conference circuit? A review of a major Microsoft event that went forward during the pandemic could spell out what to expect in the coming months.

Seven Group says it’s enabling advisors to market on their own.

The firm has hired Jon Frojen, who played a big role in United Capital's sale to Goldman Sachs, as CFO.

With some exceptions, Reg BI scrutiny will be included in broader firm examinations rather than a sole focus of inquiry, according to one FINRA representative.

SFO Alliance will host private events -- at the moment virtually -- where family offices can discuss everything from private equity to real estate to direct investments in businesses.

A team out of Marlton, N.J., will launch Claritas Financial Partners under LPL's new affiliation model aimed at employee advisors.

Sources say it would make sense for Berthel Fisher to sell, given the low rate environment and its history with high-risk alternatives.