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The turnkey asset management platform is targeting enterprise firms willing to pay more than $100,000 per year, CEO Jud Bergman said during an earnings call.
August 8
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The RIA holding company reports a 30% rise in revenues and 30 M&A deals.
August 8
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The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.
August 8
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A barred and terminated former Securities America advisor’s conduct was “appalling, reprehensible and evil,” according to a federal judge.
August 8
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After the divorce, I was broke and in debt. Then my husband sued me.
August 7
Snowden Lane Partners -
An RIA owner accused the custodian of aiding his chief compliance in setting up a competing firm.
August 7
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Seeking out talent in unlikely places and helping it grow will yield impressive ROI.
August 7
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One team wanted more flexibility and time to manage their clients’ financial needs.
August 5
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The next big institution is going after fintech, but there’s still a long road ahead.
August 5
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The firm didn't disclose its conflicts of interest in receiving over $100 million in revenue sharing from mutual funds over nearly five years, the SEC says.
August 1
