While the industry's efforts are admirable, there is still more that firms can do
The agency says Brendan Ross manipulated data to show higher fund returns
New frequently asked questions tackle account decisions and the use of titles
The RIA consolidator will continue to be "pretty active" in 2020, according to CEO Bob Oros
Hollencrest Capital Management manages about $1.7 billion
Former NFL player Jack Brewer allegedly used nonpublic information to sell shares in COPsync
Advisers who made calls during the COVID-19 crisis have more satisfied clients than those who sent form emails
CI Financial marks its fifth U.S. deal since February, and it's just getting started
Summit Wealth Advisors is based in Frisco, Colorado
You think you're ready to choose a buyer, but there may be important deal elements that have not been addressed
Thousand Oaks Financial will become part of One Capital Management, which is a subsidiary of Toronto's CI Financial
The Chicago-area registered investment adviser manages $1.5 billion in assets
The acquisition will add $400 million to the AUM of Focus Financial
Unprecedented asset shift to women expected within the decade
Adding Frontier Investment Management brings the firm's total AUM to $56.7 billion
Initial reviews show disclosures could be ‘clearer or otherwise improved’
The DOL proposal likely would chill the use of socially responsible investments in retirement accounts; the SEC focuses on disclosure
Independent advisers are enjoying the attention of Wall Street, where some big banks are focused on acquiring privately held assets
Regulators say older advisory workforce may have issues related to cognitive impairment
The deal brings the firm's retirement plan AUM to a reported $50 billion
