Vance Barse, wealth strategist and founder, Your Dedicated Fiduciary, and James Fisher, vice president of mergers and acquisitions, FP Transitions, explore how to find 'the right fit' when it comes to acquisitions.
The new rule from the commission was the “hottest” topic for the second straight year in the Investment Adviser Association’s annual compliance survey, with ESG concerns cracking the top three for the first time.
The deadline to comply with the DOL’s Prohibited Transaction Exemption 2020-02 is here.
While advisors successfully transition out of non-Protocol firms each day, doing so comes with added risks. Attorney David Gehn, whose expertise is in representing advisors in transition from Protocol and non-Protocol firms alike, explores the...
Pallas Capital Advisors has opened its fifth office, expanding its Northeast footprint to Rhode Island.
The SEC argued the firm marketed and sold the 'YES' strategy to about 600 investors between February 2016 and 2017, without offering advisors adequate training and failing to communicate the potential risks.
