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FinCEN (and SEC) Propose New Customer Identification Program Rule With Minimal Expected Impact on...
JD Supra· 5 days agoSimilar to the AML/CFT program rule, the Proposed Rule would cover both SEC-registered investment advisers and exempt reporting advisers and apply equally ...
Waverly snaps up $310M advisory firm in Georgia - InvestmentNews
InvestmentNews· 17 hours agoThe deal gives the growth-focused RIA’s 20th location in the US, and its 14th transaction since...
Modern Wealth Adds $570M AUM In Two Deals
WealthManagement.com· 1 day agoModern Wealth Management, a private equity-backed registered investment advisory launched last year by former United Capital executives ...
Spectrum Investment Advisors Announces New Hires
NBC 17 Raleigh· 6 days agoSpectrum Investment Advisors is thrilled to announce the exciting three additions to our firm. Max is licensed as an Accredited Asset ...
The alleged ‘backdoor ties’ between retired teachers’ pension fund and investment firm
Ohio Capital Journal via Yahoo News· 2 days agoHowever, the AG stops short of detailing the alleged “backdoor ties” between the men and an...
LPL Financial to open office in Williams Tower, filings show - Houston Business Journal
The Business Journals· 7 days agoA major wealth management firm plans to expand to Houston and open a new office in a prominent...
New DOL Fiduciary Rule: Top 5 Facts Advisers Should Know | PLANADVISER
PLANADVISER· 6 days agoQuestion: I am a registered investment adviser who provides advisory services to individuals....
How much does a financial advisor cost?
CNN.com· 6 days agoMany people hire a financial advisor to gain guidance for a specific situation — a new job, an impending retirement, an unexpected windfall or an...
Making the leap to independence
InvestmentNews· 6 days agoWealth, came to a realization about his own company and the financial industry at large: the only real way to succeed is through transformation. For him,...
SEC Fines Financial Advisor for Undisclosed Conflicts Related to Film-Production Company
Barrons.com· 5 days agoThe Securities and Exchange Commission alleges that Hudson Valley Wealth Management and its founder...
