The Sudol Group manages about $300 million in client assets and primarily works with clients who are 'transitioning to or already in retirement,' according to advisor Mark Sudol.

Over the last two years, Susan Schroeder has been consolidating the regulator's two enforcement groups into one.

The digital custody and clearing firm is adding to its leadership ranks.

Chicago-based Jim Walesa and New Jersey-based Rivertan Financial Group, led by Ke M. Dao, bring more than $370 million in combined assets to Arkadios.

Virginia's State Corporation Commission's ban on advisors using mandatory arbitration clauses in advisory contracts went into effect this week, but the rule is likely unenforceable.

Ally Invest's managed portfolios have no advisory fees and an entry point of $100.

Greenlight has raised millions in its mission to help parents teach children about spending, saving and investing.

Bluespring Wealth Partners has announced the acquisition of $800 million AUM RIA Beacon Financial Group of Texas.

Scott Welch leaves Dynasty Financial to oversee model portfolios at ETF shop WisdomTree.

Stifel and BMO will pay $2.7 million and $1.95 million, respectively, in penalties.