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Morgan Stanley to Sell $15 Billion Eaton Vance RIA Business to...

Morgan Stanley has agreed to sell its $15 billion registered investment advisory arm, Eaton Vance WaterOak Advisors, in two parts to CI Financial Corp....

CI Financial to Acquire $5 Billion Wealth Management Firm

CI Financial Corp. (NYSE: CIXX, TSX: CIX), a dual-listed investment and wealth management company, has agreed to purchase Corient Capital Partners LLC, a Newport...

CI Financial Completes Six Acquisitions, Increases U.S. Assets to $115 Billion

CI Financial Corp. (NYSE: CIXX, TSX: CIX), a dual-listed investment and wealth management company, has completed the acquisitions of four registered investment advisor firms,...

CI Financial to Buy $6 Billion RIA

CI Financial Corp. (TSX: CIX; NYSE: CIXX), a dual-listed investment and wealth management company based in Canada, has agreed to purchase RegentAtlantic Capital LLC,...

CI Financial Buys $615 Million Chicago-Based RIA

CI Private Wealth, a division of CI Financial Corp. (TSX: CIX, NYSE: CIXX), has purchased Matrix Capital Advisors, LLC, a Chicago-based registered investment advisor...

Cetera Recruits More Than $2.4 Billion in New Assets In 3Q21

Cetera Financial Group, a network of independent wealth management firms, has reportedly recruited more than $2.4 billion in new assets in the third quarter...

Cetera Adds $100 Million Investment, Tax, Estate and Medicare Practice

Cetera Financial Specialists LLC, an independent broker-dealer within the Cetera network of firms, has added HD Financial Specialists, a full-service wealth management practice based...

SEC Sanctions Eight Broker-Dealers/RIAs for Deficient Cybersecurity Protection

The Securities and Exchange Commission has sanctioned eight firms for having deficient cybersecurity policies and procedures that resulted in email account takeovers that exposed...

Blucora’s Avantax to Buy $1.1 Billion New Jersey-Based RIA

Avantax, a tax-focused financial planning firm, has agreed to acquire Headquarters Advisory Group LLC, a New Jersey-based registered investment advisor with approximately $1.1 billion...

Former Lincoln/LPL Rep Admits to Stealing More Than $600,000 from Elderly...

Mathew Clason, a former investment advisor and registered representative previously affiliated with Lincoln Financial and LPL Financial during his career, pled guilty earlier this...