Some suggested that mistakes, rather than intentional duplicity, were the reason behind firms failing to disclosure past legal and disciplinary incidents in their Form CRS.
Led by strategic acquirers like Hightower and Creative Planning, RIA M&A kept up the hot pace set in June, with 12 deals announced in August for $12.89 billion in AUM.
CAPTRUST boosted its already large retirement plan business with the addition of RIA Plante Moran Financial Advisors' retirement practice, a team boasting $6.27 billion in assets under advisement.
The addition of The Parker Group, which joins Baird from Morgan Stanley, marks the 11th private wealth management office in the state for the wealth management firm.
Luke Winskowski readily admits that Thrivent's effort to rebrand itself as an advice-driven company is a “significant effort” for a legacy insurance company.