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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.

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.

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.

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.

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.

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.

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.

Adviser involved in college admissions probe revealed as Oppenheimer rep
NEWS REGULATION AND LEGISLATION APR 30, 2019
Adviser involved in college admissions probe revealed as Oppenheimer rep

Qui Xue Yang works at firm's Summa Group unit in Los Angeles.

SEC charges San Diego-area adviser with $7 million Ponzi scheme
NEWS REGULATION AND LEGISLATION APR 29, 2019
SEC charges San Diego-area adviser with $7 million Ponzi scheme

Christopher D. Dougherty charged with defrauding clients with fake private placements.

Adviser team managing $6 billion at Morgan Stanley creates RIA
NEWS RIAS APR 29, 2019
Adviser team managing $6 billion at Morgan Stanley creates RIA

Houston-based Americana Partners is using Dynasty, Schwab and Addepar.