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SEC Obtains Final Judgment Against California Adviser Who Defrauded Senior Citizens

The Securities and Exchange Commission obtained a final judgment against California-registered investment adviser representative Paul Horton Smith Sr., his companies Northstar Communications, LLC and...

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...

Advisor Group’s Royal Alliance Recruits Former ProEquities Team

Royal Alliance Associates, an independent wealth management firm within the Advisor Group network, has recruited Mint Wealth Management, a Houston-based financial planning and wealth...

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...

XY Planning Nixes Supreme Court Challenge of Reg BI, Plans to...

XY Planning Network (XYPN), a membership organization comprised of more than 1,300 independent fee-for-service financial advisors, will not appeal its 2nd Circuit ruling on...

Wealth Enhancement Group Buys RIA with Nearly $1 Billion in Client...

Wealth Enhancement Group, an independent wealth management firm backed by TA Associates that oversees $20.3 billion in client assets, has acquired an independent registered...

Advisor Group’s SagePoint Recruits Two Longtime Advisors from LPL Financial

SagePoint Financial, a wealth management firm within the Advisor Group network, has recruited two Oregon- based independent financial professionals with a total of $365...

Focus Financial to Buy $1.6 Billion Ohio-Based RIA

Focus Financial Partners Inc. (Nasdaq: FOCS), a partnership of independent, fiduciary wealth management firms, has agreed to purchase Fairway Wealth Management, an Ohio-based registered...

Good Life Recruits $200 Million Team

Good Life Companies, an independent hybrid registered investment advisor, has recruited YTS Wealth Management, a Pennsylvania-based team with approximately $200 million in total client...

CI Financial to Buy $450 Million Cincinnati-Based RIA

CI Financial Corp. (TSX: CIX), a Canadian asset management and wealth management firm, has agreed to purchase Bowling Portfolio Management LLC, a Cincinnati-based registered...