Wealth Management industry news covering the financial markets, trends and wealth professionals.
Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter. Join today.
Registrants have a 'good understanding' of what the commission expects from Reg BI compliance, so those questions will likely be 'integrated' into the Division of Examination's regular programs, according to an associate director with the division.
According to the Justice Department, Larry Holley, a pastor at Abundant Life Ministries and the co-operator of Treasure Enterprise, raised nearly $9.3 million from more than 140 investors.
Kelso joins private equity firm The Cynosure Group, along with Savant’s family office investors; CEO Brent Brodeski will retain full control of the $12 billion RIA.