Pacific Edge Advisors constitutes a hometown acquisition for Beacon Pointe.
The agency says the firm distributed unregistered shares unlawfully and failed to file suspicious activity reports.
Lamont Financial Group operates from two bank offices in Mason City and Clear Lake, Iowa.
The deal for Cascadia Advisory Services will expand Mariner's presence in Portland, Oregon.
The principals of Charlotte, North Carolina-based Queens Oak Advisors, Leila Evans and Deems May, a former NFL player, will join MAI.
The principals of GRP Financial California will join Hub’s private wealth business.
Three registered representatives who collectively manage $345 million have joined Linsco, LPL Financial’s employee adviser unit.
InvestmentNews' Sean Allocca joins the podcast to chat with Bruce about some of the big acquisitions and hoped-for acquisitions in the wealth tech space. They go over Wealthfront as a possible buy target and Apollo's purchase of Griffin.
The SEC chairman's comments were the strongest signal to date that he'll push for much tougher rules for special purpose acquisition companies.
A duo from LPL and two Wells Fargo reps are affiliating with the firm’s independent unit.
