How CapWealth Fought 12b-1 Fee Charge: SEC Roundup
By Nick Morgan and Tom ZaccaroCapWealth founder Tim Pagliara explains how his firm prevailed over the regulator in federal court.
July 17, 2023
Allison Daniels, Partner, Marcus, Inman & Daniels Wealth Advisors (Video)Allison Daniels, Partner at Marcus, Inman & Daniels Wealth Advisors, speaks about how she took the independent route two years ago, founding a business…
July 17, 2023
Dathan Lumpkins, President, Lumpkins Private Wealth Management (Video)Dathan Lumpkins, President of Lumpkins Private Wealth Management, discusses what independence has meant for him over the last four years and how his business focuses…
July 17, 2023
Michael Cowan, Managing Principal, Gardens Wealth Management (Video)Michael Cowan, Managing Principal at Gardens Wealth Management, speaks about working as an independent financial advisor for the last 13 years and what…
July 17, 2023
Spotlight on M&A (Video)As independent financial advisors seek growth, panelists explain why they are using M&A as a key strategy for expansion. Building their books of business…
July 14, 2023
Supreme Court to Decide Fund Manager's 10-Year SEC Fight — SEC RoundupThe SEC's in-house trial system is largely "a kangaroo court," the hedge fund principal's lawyer says.
July 14, 2023
Keeping the Focus on Clients (Video)For advisors who have picked the independent path, one of the biggest benefits is spending more time and energy deciding how to optimize and personalize…
July 12, 2023
Common Fears of Going Independent (Video)A common refrain from independent financial advisors after they transitioned to independence is: "Why didn't I do this sooner?" For those that have made…