The case, which is seeking class status, also names Fidelity and Financial Engines as defendants.
Newport, Kentucky-based Hoff Bujnoch & Associates is led by Digger Bujnoch and oversees $150 million in client assets.
The multicustodial open architecture platform promises to connect the various applications advisors use to service clients.
At the end of April, The Retirement Planning Group had 14 advisors and 40 employees.
The additional investment from Altas Partners pushes Mercer's valuation past $3 billion.
The legislation mandates that the SEC think beyond current income and wealth thresholds to define the sophisticated investors who are qualified to buy private securities.
Regulator’s suit comes day after the agency sued crypto platform Binance for a wider set of violations.
InvestmentNews used Bureau of Labor Statistics data to calculate future demand for advisors and identify metropolitan areas that will need a substantial number of new advisors.
Both CellTrust and ionLake provide compliant text messaging and archiving for advisors. CellTrust accused ionLake of violating its patents, but the jury disagreed.
BerganKDV provides accounting, tax and audit services and business advice, in addition to wealth management.
The independent broker-dealer is developing different channel strategies as part of its rebranding, and RIAs are a big part of that.
As the banking crisis unfolded during the first quarter, the youngest investors were loading up on financial sector stocks and crypto, while older investors backed off.
The lawsuit seeks $150 million in damages from the radio host over ads for a timeshare exit business that listeners say failed to extricate them from timeshare contracts.
The agency has for months been probing whether Binance illegally sold digital coins as the exchange was getting off the ground in 2017.
Miami-based Eva Marina Ovejero has more than two decades of experience.
Amy Lawrence is launching Gorilla Investments Co. in Miami.
While the rules for claiming Social Security will get a bit simpler starting in 2024, clients will continue to need advice on the best time to claim benefits.
Richard Ina will open an office for the firm in the Nashville, Tennessee, area.
Having more people know what you can do for them rather than what they can do for you could be a route to growth that suits many advisors.
Meet the members of InvestmentNews' 2023 class of 40 Under 40. InvestmentNews is proud to profile these rising stars and shine a light on their impressive achievements at such an early stage of their careers.
