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RIA Deal Round-Up: Bicknell’s Mariner to Buy $5.1 Billion-AUM AdvicePeriod

July 23, 2021 Share This Marty Bicknell, chief executive and majority owner of Mariner, Marty Bicknell’s Mariner Wealth Advisors is purchasing Los Angeles-based AdvicePeriod in a deal expected to lift his registered investment advisory firm to roughly $40 billion in assets under management. The acquisition, announced on Tuesday, will also unite the heads of the […]

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Massachusetts Charges Schwab for Allowing Ex-RIA to Collect Fees After Licensed Lapsed

July 21, 2021 Share This Massachusetts State House. Massachusetts state securities regulators charged Charles Schwab & Co. over an alleged compliance flaw that allowed a third-party investment advisor on its custodial platform to continue collecting advisory fees from customers years after his registration lapsed, according to a Wednesday announcement. The ex-advisor, James P. O’Connell of […]

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