Four-adviser team in Sarasota, Fla., moves with its two assistants.
SEC alleged that Perry Gruss abetted cash moves at defunct D.B. Zwirn.
CEO Daniel Bryant: 'It's a logical next step for us. This has always been our intention, regardless of what IFP is doing.'
The $100 million stock offering will fine-tune RIA valuations.
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
The elimination of the deduction for alimony payments calls into question existing prenuptial agreements.
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
The RIA aggregator, founded by CEO Ruediger 'Rudy' Adolf (above), has partnered with more than 50 registered investment adviser firms.
Four-person Undivided Wealth Management is based in St. Louis.
He's pursuing an aggressive growth strategy and learning from past mistakes.
Says firm was negligent in case involving energy stock selection.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
New owners plan more growth for the software service provider.
As a wave of mergers hits the asset management industry, some analysts question whether the firm should make an acquisition
Transactions pose inherent risks to policyholders, such as the buyer having a weak credit rating or increasing contract fees.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
The chairman and CEO wants to set a better example for his colleagues by not always being the first one in the office and the last to leave.
Agency says Tibor Klein used 'material, non-public information'
