Registrants have a 'good understanding' of what the commission expects from Reg BI compliance, so those questions will likely be 'integrated' into the Division of Examination's regular programs, according to an associate director with the division.
Damian Williams is taking charge of the office known for being the nation’s most aggressive prosecutor of white-collar crime.
Local St. Petersburg firms Raymond James Financial Inc. and Dynasty Financial Partners helped recruit Ark to the West Coast of Florida.
Kelso joins private equity firm The Cynosure Group, along with Savant’s family office investors; CEO Brent Brodeski will retain full control of the $12 billion RIA.
Fairport's deal to acquire FMA Advisory, facilitated by Hightower, will bring its total AUM to $3.9 billion.
If states adopt the rules, they could bring the hammer down on advisors and firms that shirk paying the fines.
ARK is closing its New York office permanently at the end of October and relocating its corporate headquarters to St. Petersburg, Fla.
Mariner's latest deal expands its presence in Florida and marks the RIA’s seventh acquisition since July.
Mariner's latest deal expands its presence in Florida and marks the RIA’s seventh acquisition since July.
