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Hilltop Securities Independent Network Changes Name

Hilltop Securities Independent Network Inc., an independent broker-dealer and registered investment adviser, has changed its name to Momentum Independent Network Inc. The firm serves approximately...

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...

SEC Adopts Modernized Marketing Rule for RIAs

The Securities and Exchange Commission has finalized reforms under the Investment Advisers Act to modernize rules that govern investment adviser advertisements and payments to...

SEC Bars Adviser for Recommending Clients Invest $3 Million in Ponzi...

The Securities and Exchange Commission has barred adviser Craig Rumbaugh for recommending that eight of his clients invest more than $3 million in a...

Private Advisor Group Appoints Robert Moore as Chief Executive Officer

Private Advisor Group, the largest hybrid registered investment adviser on LPL Financial’s platform with $21 billion in asset under management, has appointed industry veteran...

Hilltop Securities Promotes Two Managing Directors in Wealth Management Division

Hilltop Securities, a full-service investment bank and registered investment adviser, has promoted Peter Cappos to managing director and head of the West Coast region...

Creative Planning Buys $1.6 Billion Atlanta-Based RIA in Largest Deal Yet

Creative Planning Inc., one of the nation's largest registered investment advisers, has purchased TrueWealth, an Atlanta-based RIA with approximately $1.6 billion in assets under...

Mercer Advisors Buys Colorado RIA in Latest Acquisition

Mercer Global Advisors Inc., a national registered investment adviser, has acquired Summit Wealth Advisors Inc., a wealth management firm located in Frisco, Colorado with...

Cresset Asset Management Names Chief Operating Officer

Cresset Asset Management, a registered investment advisor with $9.8 billion in assets under management, has appointed Randall Conte as chief operating officer. In his...

Creative Planning Buys $600 Million RIA Focused on Oversees Clients

Creative Planning Inc., a registered investment adviser that manages approximately $49 billion in client assets, has purchased Thun Financial Advisors, a registered investment advisory...