| | | | | In a letter to Acting SEC Chair Mark Uyeda, the Chicago-based firm called the recent complaint a retaliation and cited “rushed efforts” by SEC staff to push through the filing in the final days of Gary Gensler’s tenure. Read More > |
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| | | “We know the need is going to be long-standing, and it’s going to be immense,” said one Los Angeles-based advisor. Read More > |
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| | | “They’re trying to make an example of Darren Reinig so they can send a message to the broader advisor community that if you try to leave Hightower, we’re going to make your life expensive and litigious. And essentially that message has now popped,” the advisor’s attorney said. Read More > |
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| | | Mariner’s recruitment scheme “was calculated to ensure Mariner received Edelman’s trade secrets,” according to amendments made to a lawsuit Edelman first filed in 2023. Read More > |
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| | | SageSpring is Dynasty’s largest RIA partnership to date and boosts total assets on its platform to $105 billion. Read More > |
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| | | The storied family office has also launched a new RIA, to which it will transition the vast majority of its $9 billion in assets this year. Read More > |
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| | | The deal with Carlson Capital Management is Sequoia’s largest by number of employees and wealth advisors. It also allows the firm to offer internal tax planning and preparation services. Read More > |
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| | | U.S. Supreme Court stays one lower court’s injunction of the CTA, but another lower court’s order still keeps the Act in suspended animation. Read More > |
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| | | Financial Services Institute CEO Dale Brown acknowledged the organization wasn’t as familiar with potential DOL Head Rep. Lori Chavez-DeRamer as it was with SEC Chair Nominee Paul Atkins. Read More > |
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| | | New Jersey-based advisors William Bruen, Jr. and his son Andrew Bruen lead the firm founded by William’s grandfather, James Bruen, in 1922. Read More > |
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