Torrance, Calif.-based EP Wealth Advisors has added a $660 million registered investment advisor in its home state with the acquisition of Peninsula Wealth. Peninsula Wealth has been in the Bay ...

Registered investment advisors announced more than $18.8 billion in transacted assets this week, an indication that M&A in the space has not slowed as much as some predicted. Lazard Asset ...

Savant Wealth Management, a rapidly growing, employee-owned registered investment advisor based in Rockford, Ill., announced this week that it had acquired Capital Directions, an Atlanta-based ...

A Washington-based RIA with $3.7 billion in managed assets will pay $430,000 to settle SEC charges it violated the regulator's marketing rule with its use of hypothetical performance in ads.

Wealth Enhancement Group, an acquisitive Minneapolis-based registered investment advisor, has purchased Levy Wealth Management Group, LLC, a Philadelphia-based hybrid RIA. Levy’s team oversees ...

Seattle-based Laird Norton Wealth Management, a registered investment advisory and subsidiary of the Laird Norton Company, announced it has merged with Wetherby Asset Management, a San Francisco ...

A fugitive financial advisor is facing new charges from the Justice Department, more than 2 1/2 years after he originally disappeared. This week, a federal grand jury in Georgia charged ...

A father-son advisor team in New Jersey has left Hornor, Townsend & Kent, an independent broker/dealer owned by Penn Mutual, to launch their own registered investment advisor. Lance and Gideon ...

Sequoia Financial Group, an Akron, Ohio-headquartered registered investment advisor with more than $15 billion in assets under management, has launched a family office division, Sequoia Sentinel ...

Hiring Arun Anur is another clear move for Orion to become far more than a technology platform, moving toward an investment platform that is more competitive with Envestnet. We expect this to be a ...

RIAs announced seven deals this week and Private Advisor Group added a new role. EP Wealth acquired $1 billion Lehman & DeRafelo, Moneta added a team from IWP Family Office, Mercer Global ...

A Florida-based registered investment advisory firm with about $3.93 billion in assets under management settled charges with the Securities and Exchange Commission that it recommended and ...