The Somnio Wealth team in Louisville, Ky., joins LPL after 14 years with Ameriprise.

The brokerage regulator settled two cases related to the SEC’s rule this week; one securities attorney believes FINRA has now established itself as the “primary regulator” of the rule.

Managing Partner and Chief Strategy Officer Burt White will take over for Carson as chief executive of the $35.5 billion AUM RIA.

The new role will partly support 55ip, whose CEO, Paul Gamble, revealed last week that he would step down from that post in September.

And less time being defensive.

Rob Pettman is leaving the independent broker/dealer after 17 years to join a fintech firm.

Historically, the real estate investment manager relied on independent broker/dealers to reach private wealth. It wants to diversify both its distribution and its investment offerings.