Sales of high-commission notes and private placements were at issue.
The largest IBD in the country has agreed to buy a small broker-dealer in Florida to kick off the new effort.
Argent Bridge Advisors, based in Vienna, Va., changes RIA and B-D platforms.
Fund will tackle the risks and rewards of buying companies before they go public.
Collective investment trusts also have the potential to fuel a new wave of lawsuits against advisers.
Three-adviser group in Richmond, Va., joins firm's employee unit.
Florida-based Dakota adds Ohio-based, woman-owned firm and $258 million in AUM.
Market gyrations put a dent in quarterly VA sales.
Under the proposal, investment advisers would have to establish written policies to safeguard client data.
Newcomers added in California, Washington and Kansas.
Firm is offering advisers upwards of three times prior year's revenue to move.
High-ranking, bipartisan members of the House Financial Services Committee back the legislation
William Poynter declined to appear at hearing looking into tuition reimbursements.
Philip Nalesnik failed to inform firm of outside business activities.
Bucking industry trends, North Capital thinks evisor can be a low-cost alternative to existing financial planning tools.
Plaintiff's lawyer says junk bonds, futures contracts and derivatives were inappropriate for his clients.
'Portability' allows a surviving spouse to tack on the decedent's exemption to his or her own. Despite the higher threshold for paying estate taxes in the 2017 tax law, experts recommend filing for the benefit.
Demand for new revenue sources points to relationships
To combat fee compression, many look to diversify their businesses.
CAPTRUST CEO discusses acquisitions and recruiting in the retirement space, and his biggest concerns
