'The first deal I did was a complete disaster because I did it on my own,' said Ron Carson, founder and CEO, Carson Group, during a panel discussion on RIA M&A.
Citizens is contacting wealth firms that look like a good fit and attempting to negotiate with their principals directly as a way of avoiding the bidding process.
Rick Ferri talks about his start in the industry, how his thinking has evolved around Wall Street and whether a fee structure that charges clients for investment advice based on AUM can exist in a fiduciary framework.
Commonwealth hopes Alexander Hansen, the former CCO of Dynasty, will brings its compliance consulting support for fee-only advisors to the next level.
State securities regulators look to examinations in assessing advisor capabilities at spotting, helping curb elder fraud.
The settlements are the latest in a string of SEC enforcement actions for similar conduct, which one lawyer says is now 'low-hanging fruit' for the regulator.
