Patrick Donachie

In the suit filed in a Minnesota court, the firm alleged Christopher Porpiglia violated employee contracts when he resigned last week. RFG Advisory claims it is “confident in the process” of the advisor transition.

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Citizens Securities is seeking a restraining order against Ameriprise and Darrell Smith in federal court in Massachusetts, alleging that Smith solicited former clients shortly after changing firms.

The acquisitions push the firm's assets under advisement to roughly $70 billion, following deals with WorthPointe, Silver Lake Capital Partners and R Meier Wealth Management.

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The SEC's exam division plans to probe how firms govern AI use, from deepfake threats to vendor risk, while also prioritizing illiquid products and Reg S-P readiness.

Convergence is pitting advisors and providers against each other. Fred Barstein, Founder and CEO, The Retirement Adviser University

The Stribling-Whalen Financial Group is custodying client assets with Fidelity and works high-net-worth individuals, families and business owners in Georgia and other states.

Echelon's third quarter report found private equity-backed acquirers’ share of RIA transactions eased slightly, even as overall deal volume stayed near record highs for the year.