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Finra bars former America Northcoast rep over unsuitable ETF trades
INVESTING MUTUAL FUNDS MAY 10, 2019
Finra bars former America Northcoast rep over unsuitable ETF trades

Dominic Tropiano made 52 trades in two customers' accounts without their knowledge.

ETF investors see gyrating markets over next six months
INVESTING MUTUAL FUNDS MAY 10, 2019
ETF investors see gyrating markets over next six months

Schwab study finds ETF investors view vehicle as way to manage volatility.

Only 13% of adult children would use parents' adviser: Cerulli
YOUR PRACTICE PRACTICE MANAGEMENT MAY 09, 2019
Only 13% of adult children would use parents' adviser: Cerulli

Almost 9 in 10 said they never even considered it.

California hybrid managing $200 million switches from Cetera to SA Stone
NEWS INDUSTRY NEWS MAY 09, 2019
California hybrid managing $200 million switches from Cetera to SA Stone

SB Wealth of San Clemente will use firm's broker-dealer and RIA.

Cerity Partners acquires $500 million hybrid
NEWS RIAS MAY 02, 2019
Cerity Partners acquires $500 million hybrid

Fort Worth-based Karsten Advisors has offices in Texas and Colorado.

Cresset acquires $500 million Cypress Wealth Advisors
NEWS RIAS MAY 02, 2019
Cresset acquires $500 million Cypress Wealth Advisors

Acquisition brings two-year-old Cresset's AUM to $4.5 billion.

UBS adviser team managing $300 million goes indie with Raymond James
NEWS INDUSTRY NEWS MAY 01, 2019
UBS adviser team managing $300 million goes indie with Raymond James

Lori Siegel and Robert Russo form Centrix Wealth Partners in Houston.

Finra bars former Cambridge rep over misuse of funds
NEWS INDUSTRY NEWS MAY 01, 2019
Finra bars former Cambridge rep over misuse of funds

Anselmo Contreras Jr. said to have borrowed $30,000 from clients.

Top RIAs view talent and technology as biggest challenges
NEWS RIAS MAY 01, 2019
Top RIAs view talent and technology as biggest challenges

They want more bang for big tech bucks, poll of advisers by Pershing finds.

Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners
NEWS INDUSTRY NEWS MAY 01, 2019
Adviser duo managing $400 million exit Fieldpoint Private for Treasury Partners

David Zoll and Sarah Pifer join New York firm, which is a unit of HighTower.