Waltham, Massachusetts-based Argent Wealth Management has 11 advisers
Coral Gables Asset Management and its owner, David Coggins, falsified results on a private fund they managed, the agency charges
The volume of RIA transactions have held up during the pandemic
Nestlehut Financial Services is based in Frankfort, Illinois
Both Michigan-based firms, Baldwin Capital and Langdon Capital, specialize in 401(k) plans
The money went to pay adviser Mark Boucher’s credit card bills, the agency alleges
The North Carolina-based RIA has 32 employees, including 12 advisers
Adjusting to the pandemic, RIAs surveyed by TD Ameritrade say they're communicating with clients more than ever
Minish Hede, Kevin Graetz allegedly sold $9.6 million in notes not approved by their firm
The six-member group will work in the Washington, D.C., office of UBS Private Wealth Management
