Tom Moran and his Naples, Fla.–based team sought to be fee-only and escape the constraints Wells Fargo placed on investment options and services he was able to offer his clients.

"Recovery Within Reach" is one of the nation’s first statewide initiatives focusing on advisors’ role in curtailing the opioid epidemic.

Thomas Barr joins Steward Partners Global Advisory following transition to multi-custodial Raymond James platform.

Did a now-defunct IBD avoid FINRA financial judgments by transferring brokers and clients to another firm? Both PIABA and the FSI are weighing in on a case currently brewing in Georgia's federal appeals court.

Small pricing discrepancies among wholesale market makers can have a large impact overall.

Sanctuary facilitated the tuck-in of The Alteri Group, a six-person Texas team fresh out of the wirehouse.

Scott Kohn worked with a network of hundreds of financial advisors and insurance agents, several now barred by FINRA, as part of a scheme targeting seniors and veterans, the DOJ says.

The $600 million acquisition advances Equitable’s wealth management growth strategy.

Merchant Investment Management's stake will fund Mulholland Growth's acquisition plans of smaller RIAs, and help educate advisors on Redwood's "disruptive" asset management strategies.

The investment will allow Signature Estate & Investment Advisors to move into the M&A space for the first time and expand distribution for its TAMP.