Former NFL player Jack Brewer allegedly used nonpublic information to sell shares in COPsync
Advisers who made calls during the COVID-19 crisis have more satisfied clients than those who sent form emails
CI Financial marks its fifth U.S. deal since February, and it's just getting started
Summit Wealth Advisors is based in Frisco, Colorado
You think you're ready to choose a buyer, but there may be important deal elements that have not been addressed
Thousand Oaks Financial will become part of One Capital Management, which is a subsidiary of Toronto's CI Financial
The Chicago-area registered investment adviser manages $1.5 billion in assets
The acquisition will add $400 million to the AUM of Focus Financial
Unprecedented asset shift to women expected within the decade
Adding Frontier Investment Management brings the firm's total AUM to $56.7 billion
Initial reviews show disclosures could be ‘clearer or otherwise improved’
The DOL proposal likely would chill the use of socially responsible investments in retirement accounts; the SEC focuses on disclosure
Independent advisers are enjoying the attention of Wall Street, where some big banks are focused on acquiring privately held assets
Regulators say older advisory workforce may have issues related to cognitive impairment
The deal brings the firm's retirement plan AUM to a reported $50 billion
Issue eclipses cybersecurity for first time in six years in the Investment Adviser Association survey
David Hu sold fake loans to pay off earlier investors, the SEC alleges
With back-to-office plans in flux, the acceleration of digital-driven processes among advisers is a trend for the long haul
Independent advisers want to do deals, but many confess they aren't really prepared to do so
All RIAs are different, which underscores the need for diverse sources of funding for these firms
