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Sageview Hires Former Goldman Exec as Chief Operating Officer

SageView Advisory Group, an independent registered investment advisory firm, has hired Jorge Bernal as chief operating officer. In his new role, Bernal will oversee all...

Coldstream Hires Former Charles Schwab Director as Chief Revenue Officer

Coldstream Wealth Management, an employee-owned registered investment adviser, has hired Natalie Straub as chief revenue officer. In her newly created role, Straub will develop...

Grove Point Hires Former Cetera Exec as Senior Vice President of...

Grove Point Financial LLC, an independent broker-dealer and registered investment adviser platform, has hired 26-year industry veteran, Denise McGee, as senior vice president of...

SEC Obtains Final Judgement Against Former RIA Exec Who Pled Guilty...

The Securities and Exchange Commission has obtained a final judgement against Richard Diver, the former chief operating officer and co-founder of wealth management firm...

SEC Charges Adviser with Defrauding Elderly Client

The Securities and Exchange Commission has charged Michigan-based investment adviser Steven F. Muntin with allegedly defrauding one of his investment advisory clients out of...

Coldstream to Merge with $463 Million Wealth Management Firm

Coldstream Wealth Management, an employee-owned, independently operated wealth management firm, announced plans to merge with Rosenbaum Financial, a Portland, Oregon-based registered investment advisor with...

Protective Life to Combine Insurance and Financial Planning Affiliates into Single...

Protective Life Corporation plans to combine its insurance and financial planning affiliates into a single organization dubbed Concourse Financial Group. Concourse is expected to launch...

Coldstream and Paracle Advisors to Merge, Creating $5.7 Billion RIA

Coldstream Wealth Management, a registered investment adviser with $4.3 billion in client assets, and Paracle, an RIA with $1.4 billion, plan to merge under...

Private Equity-Backed Mercer Advisors Buys $740 Million Firm

Mercer Global Advisors Inc., a registered investment adviser with $28 billion in client assets, has purchased Epstein & White Financial LLC, a wealth management...

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...