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The firm argues David Anderson already attracted 15 former client households with about $24 million in business after moving to Stifel, according to a federal lawsuit.
Advisor demand for alternative investments is growing, according to a new Cerulli study, with exposures to intermittent liquidity products increasing sharply in 2021.
In 2020, advisor Danika Waddell found herself in some regulatory trouble, due to no fault of her own. It ultimately led her to start her own firm, and she’s never looked back.
President and CEO Wayne Chopus sent letters to U.S. Senate and House leaders urging them to approve FY 2023 money for the SEC to make new hires in its Enforcement and Examination divisions.