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Dakota Wealth Management Reaches $1 Billion AUM with Latest Acquisition

Dakota Wealth Management, an independent investment management firm managing $1 billion in client assets, has agreed to acquire Springside Partners, a female-led wealth management...

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...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

NFP to Buy Bronfman Rothschild to Create $10 Billion RIA

NFP Corp., an insurance broker and provider of wealth management, retirement and estate planning services, plans to acquire wealth advisory firm Bronfman E.L. Rothschild...

Edelman Financial Engines Appoints DOL Fiduciary Rule Architect Phyllis Borzi to...

Edelman Financial Engines, a registered investment advisor with $200 billion in client assets, has appointed Phyllis Borzi to its board of directors. Borzi, who...

Shareholders Launch Class-Action Lawsuit Against Schorsch-Controlled REIT

Plaintiff Carolyn St. Clair-Hibbard and other shareholders have initiated a second complaint against American Finance Trust Inc (Nasdaq: AFIN), American Finance Advisors, LLC., AR...

SEC Releases Investor Testing Report on Proposed Form CRS Relationship Summary

To help address investor confusion about the nature of their relationships with investment advisers and broker-dealers, the SEC’s Office of the Investor Advocate has...

SEC Investor Advisory Committee to Hold Public Call on Regulation Best...

The Securities and Exchange Commission’s investor advisory committee will hold a public conference call next month to discuss its proposed Regulation Best Interest and...

New Jersey to Propose “Uniform Fiduciary Standard” for Investment Professionals

The New Jersey Bureau of Securities plans to initiate rules to impose a fiduciary duty on all New Jersey investment professionals, requiring them to...

Merrill Lynch Reverses Ban on Commission-Based Retirement Accounts

Merrill Lynch, the wealth management arm of Bank of America, is reversing its ban on commission-based products in customer retirement accounts following the death...