Rainier Financial Group is the firm's first acquisition in the Pacific Northwest.
The six-adviser team at TBT Financial Services is based in Tyler and Longview, Texas
Brenner Wealth Management Group is based in Santa Barbara, California.
Luma Financial Technologies' new tool, Luma Compare, lets advisers compare a variety of products.
The SEC says Dean Tellone and his California firm hid information from mortgage investors.
Allison Taylor leads the all-female group in Huntington Beach, California.
The average expense ratio on funds last year was less than half of what it was in 2000, according to Morningstar's annual study of fund fees.
John and Ryan Birkhauser and their team are based in Lake Forest, Illinois.
The deal for Ellwood, which oversees $85 billion in assets, will expand Captrust's services for endowments and foundations.
Gary Gensler calls consumer advocate Roper 'a champion for investors'; she has worked for 35 years at the Consumer Federation of America.
