Highland Private Wealth Management in Bellevue, Washington, has 18 employees, including five advisers.
The executive, who had been senior adviser to Finra CEO Robert Cook, will spearhead regulatory integration.
Anthony Mona and Joseph Mansoor make the switch in Birmingham, Michigan, through OSJ Spartan Wealth Management.
The RIA specializing in public-sector retirement plans is working with Stadion on participant-level personalization and using EPIC's record-keeping platform.
Gregory Lindberg and Christopher Herwig allegedly misappropriated $57 million in client funds, while their firm collected more than $21.4 million in advisory fees in connection with these schemes.
Samuel Bates, Darin Frandsen and Adam Fluckiger set up shop at North Rim Financial Group in Saint George, Utah.
The New York-based RIA will provide four awards per year of up to $5,000 per student for individuals pursuing their CFP certification.
Second Opinion Partners and Muchler Financial Services are folded into the firm.
The custom program will provide the group's fee-only planners with counseling and matching, including an annual valuation and an annual continuity plan.
Bruce is joined by Mark Schoeff Jr., senior reporter at InvestmentNews, and Emile Hallez, US News Editor for ESG Clarity, to discuss current ESG news, including the pushback from states like Texas and Florida, which have adopted an anti-woke approach to ESG.
