Tax changes are coming too, but the experts — like everyone else — await details.
Scottsdale, Arizona-based Integrated Wealth Management has a 10-person team.
Only about 2% to 3% of all SEC-registered RIA firms are involved in a change of ownership, implying the business is quite stable, say panelists at the virtual conference.
The hiring will occur by the end of 2022 and will involve all four of the company's lines of business.
Ron Harrison’s clients lost money while he collected fees based on the purported gains he made by trading options, the agency charges.
Most of 21 recruits came from Truist, Wells Fargo and Merrill Lynch.
Vaughn Wealth Management advises on $250 million in assets.
Lindsey Rhea’s firm, Alia Wealth Partners, is based in Germantown, Tennessee.
If the model rules were adopted, states would have more power to collect millions in fines.
He succeeds Pamela Norley, who is retiring after a 25-year career at Fidelity.
