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Fragasso Financial Advisors Publishes Blog Post About Navigating Financial Markets During...
Digital Journal· 4 hours agoPittsburgh, PA - Fragasso Financial Advisors, a Pittsburgh based investment management and financial planning firm, released a comprehensive ...
Wealthcare Launches New RIA Affiliation Model
WealthManagement.com· 3 hours agoWealthcare, an integrated tech platform, hybrid registered investment advisory firm and TAMP based in West Chester ...
JD Supra: Top Tips for Updating Your 2024 Compliance Program
JD Supra· 48 minutes agoEvery year compliance officers face the unenviable job of performing their compliance program's...
FinCEN and SEC Propose Rulemaking Requiring CIP for Investment Advisers | JD Supra
JD Supra· 12 hours agoOn May 13th, the Financial Crimes Enforcement Network (FinCEN) and the Securities Exchange Commission (SEC) issued a joint notice of proposed rulemaking (NPRM) that would require SEC-
JD Supra: Texas issues a cease and desist order against a securities firm
JD Supra· 3 hours ago...Respondents were ordered to immediately cease and desist from: (i) offering any security in Texas until the security is properly registered or exempt from registration; (ii) acting as securities dealers, agents, investment advisors, or investment advisor representatives in Texas until they are ...
Key Steps for Fund Managers to Avoid Scrutiny Under the SEC’s Pay-to-Play Rule
The National Law Review· 4 hours agoThe SEC’s recent settlement involving a “pay-to-play” rule violation by a private equity firm is a...
Stratos Recruits $100M Duo in Ohio
WealthManagement.com· 1 day agoSpain & Smith Wealth Advisors will be led by veteran Henry “Hank” Spain, who was most recently with Carnegie Investment Counsel. He’s joined by Dayna...
Stratos Wealth Advisors expands in Ohio - InvestmentNews
InvestmentNews· 6 hours agoThe national RIA adds a two-advisor wealth planning practice, led by a five-decade industry veteran,...
Wealth Enhancement Group Picks Up $1.2B Houston RIA
WealthManagement.com· 22 hours agoMinneapolis-based Wealth Enhancement Group, the acquisitive registered investment advisor with over $81.5 billion in client assets, purchased ...
Fund Sponsors and Placement Agents – Navigating Broker-Dealer Issues | JD Supra
JD Supra· 12 hours agoFund sponsors often engage investment banking or placement firms to help raise capital or generate deal flow for their funds. Many sponsors and advisors ...
