A new minority partner will help firm continue its growing footprint.
Delayed information included beneficial ownership, insider transaction.
Family offices express concerns as intergenerational wealth transfer approaches.
More than half have made investment portfolio changes recently.
Two firms have settled charges alleging unregistered sales of investment contracts.
Commercial partnership announced, drawing on complementary expertise.
SEC says firm's proactive approach should be a model for RIA compliance.
Riley is under pressure with high debt burden, SEC scrutiny.
Majority of this cohort believe they are ignored by officials, poll reveals.
The deal will enable Cerity to enhance its offering to corporations and businesses.
