Clayton Chandler brings deep experience to lead data and AI strategy across Merchant’s growing RIA ecosystem.

Seven-person advisory group brings more than a century of combined experience and a holistic planning focus.

The newest four-advisor practice to join in New York adds bench strength in financial and tax planning for pre-retirees and retired clients.

Merit Financial Advisors and Prime Capital Financial are each leaning further into tax planning and strategy with their latest partnerships.

Also, a veteran from Edelman has decamped to Baird, while UBS scoops an experienced Morgan Stanley advisor in the Pacific Northwest.

The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.

The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the use of actual vs. model fees when presenting portfolio performance.

The privately held mega-RIA's latest addition in Louisiana officially joins the more than 1,000 financial advisors across its $45 billion independent advisory channel.

The Omaha-based RIA's new structures around mentorship, feedback, and promotion aim to keep younger G2 and G3 advisors engaged.

Also, Wells Fargo's recruitment rolls on with a billion-dollar-plus group from Commonwealth while LPL adds an Ameriprise team in Houston.