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Lightyear’s Wealth Enhancement Group to Acquire Another Billion Dollar RIA

Wealth Enhancement Group, an independent wealth management firm that oversees $11.8 billion in client assets, has agreed to acquire AEPG Wealth Strategies, a registered...

SEC Charges Former LPL Broker and Convict Friend for Selling Unregistered...

The Securities and Exchange Commission has charged Thomas Conwell and his childhood friend and former LPL broker, Kerry Hoffman, for fraudulently selling securities to...

SEC Bars Investment Adviser Charged with Defrauding Retail Investment Advisory Clients

The Securities and Exchange Commission has charged Fieldstone Financial Management Group LLC and its principal Kristofor Behn, with defrauding retail investment advisory clients by...

Lightyear-backed Wealth Enhancement Group to Buy Hybrid with $1.3 Billion in...

Wealth Enhancement Group, an independent wealth management firm that oversees $11.3 billion in client assets, has agreed to purchase Planning Solutions Group LLC, a...

Wells Fargo Names New Head of Asset Management Unit

Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...

Independent Broker-Dealers and RIAs Expect Higher Revenues in 2019

ADISA, a trade association representing the retail alternative investment space, has released the results of its inaugural market prediction survey, which was conducted with...

SEC Charges Investment Adviser with Fraud for Overcharging Advisory Fees

The Securities and Exchange Commission has charged investment adviser Stephen Brandon Anderson with defrauding clients by overcharging advisory fees of at least $367,000. According to...

Guest Contributor: Three Ways Investment Sponsors Can Leverage Technology in Their...

By: Brad Blazar, Director of National Accounts at VENTURE.co It should be no surprise that leading wealth advisers, including Charles Schwab, Vanguard and others, have...

Securities America Adds Three Groups with Approximately $245 Million in Client...

Securities America, a wholly owned subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited three advisory practices with client assets totaling approximately...

Four Former UBS Advisors with $530 Million Go Indie with Backing...

Former UBS wealth advisors Steven Tenney, Joseph Powers, Helen Andreoli, and Jack Piper have partnered with Dynasty Financial Partners to launch an independent wealth...