The regulator has ordered a $145K penalty against the investment adviser and its principal who “operated a fraud” on investors in funds they managed.
The rapidly growing independent has added $440M to its network with eight new advisors, including a 20-year veteran and a JPMorgan alum.
More employees are looking to make gradual goodbyes to the workplace amid ongoing concerns about retirement readiness.
The alternative investment giant sees private markets growing rapidly through 2032 as retail interest increases and public market returns slow down.
The veteran with over 20 years of strategic HR experience is expected to energize the RIA’s growth efforts as its first-ever chief people officer.
The advisory teams formerly with Lincoln Financial's wealth unit are uniting into a planning supergroup of more than 30 advisors.
The longtime Avantax president has been elevated to his new role as the broker-dealer giant looks ahead to its next growth phase.
The vice president’s latest fiscal proposal would substantially reverse a business-friendly piece of Trump-era legislation.
New interim guidance addresses concerns around the retirement savings work perk set out in the SECURE 2.0 Act.
The firm’s latest partnership expands on its efforts to give advisors at its IBD unit a more diversified investment menu.
