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SEC Charges Former Adviser with Fraud for Allegedly Stealing $2.3 Million...

The Securities and Exchange Commission has charged former investment adviser Isaiah Goodman with allegedly defrauding his advisory clients out of approximately $2.3 million. According to...

Mercer Buys Two RIAs with a Combined $1.6 Billion AUM

Mercer Global Advisors Inc., a registered investment adviser, has acquired McGee Wealth Management Inc., a firm located in Portland, Oregon with approximately $815 million...

Raymond James to Buy $35 Billion Retirement Plan Administrator

Raymond James Financial Inc. (NYSE: RJF), a financial services company, has agreed to purchase NWPS Holdings Inc., doing business as NWPS and Northwest Plan...

Apella Capital Expands West Coast Presence with Addition of $489 Million...

Apella Capital LLC, a financial advisory and wealth management firm with $1.5 billion in assets, announced that Vestory, a registered investment advisor headquartered in...

Triad Recruits $130 Million Hybrid

Triad Advisors, a wealth management firm within the Advisor Group network, has added Professional Planning & Wealth LLC to its corporate registered investment adviser...

Commonwealth Hires Fidelity Exec to Expand RIA Business

Commonwealth Financial Network, a private registered investment adviser and independent broker-dealer, has hired Matthew Chisholm to serve in the newly created role of senior...

Schwab Advisor Services Launches Alternative Investment Platform

Schwab Advisor Services has launched the Schwab Alternative Investment Marketplace platform, which gives the company’s independent advisor clients access to third-party platform sponsors that...

Triad Advisors Recruits Former LPL Hybrid

Triad Advisors LLC, an independent advisory and brokerage firm and subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), has recruited Mooney Lyons Financial...

Ameriprise Recruits Longtime Merrill Lynch Team

Ameriprise Financial Inc., a financial services firm with approximately 10,000 financial advisors, announced that CAM Wealth Management, a team of financial advisors with approximately...

Stifel to Buy Missouri-Based Broker-Dealer

Stifel Financial Corp. (NYSE: SF) has agreed to buy certain assets of George K. Baum & Company, a broker-dealer that focuses on municipal securities....