News

Staff continue to incorporate Reg BI compliance into the SEC's examination and enforcement processes; Commissioner Caroline Crenshaw believes this data will illuminate whether the rule is working as promised, or whether changes may be required.

The Monteverde Group joins the independent broker/dealer and custodian from Royal Alliance, part of Advisor Group's broker/dealer network.

Firms with similar business, client-care and investment philosophies are usually more amenable to negotiation and constructive compromise than firms with widely different views on these priorities.

The mergers, acquisitions and advisor moves announced the week of March 8, 2021.

Jeffrey Kaufman and John Tassone leave two months after SVB Financial agreed to buy Boston Private for $900 million.

This marks CI’s 15th deal since entering the U.S. RIA market in January 2020, bringing its total U.S. assets to about $50 billion.