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Advisor Group Adds Reg BI Compliance Tools to Account Management Platform

Advisor Group, the nation's largest network of independent wealth management firms, has added new features to its digital client onboarding and account management platform...

Docupace Sells Majority Stake to Private Equity Firm, Appoints New CEO

Docupace, a cloud-based digital operations software for wealth management firms, has secured a majority equity investment from FTV Capital, a sector-focused equity investment firm. Docupace...

Guest Contributor: 2020 Examination Priorities, FINRA to Scrutinize Private Placement Marketing...

By: Brad Updike, Director at Mick Law P.C.  The Financial Industry Regulatory Authority (FINRA) released its list of examination priorities on January 9, 2020. In...

IFS Securities Shuts Down

IFS Securities, a broker-dealer based in Atlanta, has shut down after requesting that FINRA and the 25 states where it was licensed terminate its...

Waypoint Taps Two Industry Veterans for Its Affiliated Broker-Dealer

Waypoint Real Estate Investments, a real estate investment firm focused on the U.S. rental housing sector, has added two industry veterans to its affiliated...

Commonwealth Recruits $1 Billion Hybrid from Securian Financial

Commonwealth Financial Network, the nation’s largest private registered investment adviser and independent broker-dealer, has added Legacy Planning Partners to its platform. Formerly affiliated with...

SkyView Launches Digital Platform for Wealth Management M&A and Financing

SkyView Partners, a correspondent lender focused on helping independent advisors, broker-dealers, and RIAs to pursue mergers, acquisitions and succession plans, has launched their Advisory...

Another KBS REIT Replaces External Advisor with Pacific Oak

KBS Strategic Opportunity REIT, a publicly registered non-traded real estate investment trust, will terminate its advisory agreement with KBS Capital Advisors LLC, effective October...

KBS Strategic Opportunity REIT II Replaces External Advisor

KBS Strategic Opportunity REIT II, a publicly registered non-traded real estate investment trust, has terminated its advisory agreement with KBS Capital Advisors LLC, effective...

Woodbury Financial and GCG Recruit Five Longtime Wells Fargo Advisors

GCG Wealth Management, a Woodbury Financial Services-affiliated firm, has recruited five advisors with a combined $330 million in client assets to its new Greensboro,...