TCFG in Laguna Nigel marked up ticket charges 60% of the time, but told advisory clients that markups were imposed only 'in some limited instances,' the agency says.
The SEC charged Robert Press, the former CEO of TCA Fund Management, and Donna Silverman, its former chief portfolio manager, with inflating net asset values.
Veteran advisers in Oklahoma and Utah affiliate with Cetera through Texas-based Farpointe Wealth Partners.
The solution, which targets retirement plans with up to $2 million in assets, is built on a large-plan platform and can accommodate growth.
The company's retirement solutions group is looking for both entry-level and experienced staff.
Praxis Consulting, based in Sacramento, California, has $240 million in retirement plan assets and $110 million in personal advisory assets.
The team, including James Wendling, Steven VanDerSchaaf andClint Allman, have moved to the employee unit of Raymond James in Davenport, Iowa.
First Legacy Wealth Management affiliates through JFC Advisor Network. The advisory firm is based in San Angelo and Big Spring, Texas.
The registered investment adviser Quest Capital Management, based in Dallas, will add assets and 17 staff members to the $32 billion Mercer Advisors.
The three-person Truist team includes Charles Mintz, Timothy Gray and Wren Mintz, and is moving to the employee unit of Raymond James.
