The four-adviser group is moving to the firm’s employee unit in Augusta, Georgia and will operate as the Cypress Wealth Group.
The agency says the New York institutional firm mismarked hedge fund orders.
The program broadens the relationship the fund company began last year with HarbourVest to serve institutional clients.
John Farrell and Joel East are joining the UBS branch in Fort Worth, Texas.
About 800 T. Rowe employees will be offered jobs with FIS; the transition is effective Aug. 1.
Viridian Advisors, an $846 million RIA, will bring CPAs and tax expertise to Edelman.
Lawyers group says regulators and the customers who had complaints should be able to present evidence in expungement requests.
Frank Hanna and Bryan Cogliano head RevolutionX, a hybrid based in Berwyn, Pennsylvania.
Knowlton Knowlton & Larsen will be Rockefeller's first group of advisers in Boston.
Combined, the asset managers will have $5 billion in AUM.
