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News |Regulatory |FINRA | Jul 17 2017

FINRA Fines Edward Jones $725,000 For Inadequate Supervision of Consolidated Reports

The Financial Industry Regulatory Authority has fined St. Louis-based broker-dealer Edward Jones $725,000 for allegedly failing to establish, maintain, and enforce an adequate…

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News |Company |Broker-Dealers | Jul 17 2017

RIA Firm Joins DFPG

RCM Investments, a registered investment advisory firm located in Provo, Utah, has joined DFPG Investments Inc., a dually-registered independent broker-dealer and investment…

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News |Regulatory |States | Jul 14 2017

House Committee Conducts Hearing on Bill to Kill DOL Fiduciary

The Financial Services Committee held a hearing on Thursday to discuss a legislative proposal introduced by Rep. Ann Wagner (R-MO) that would repeal the Department of Labor’s…

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News |Company |Broker-Dealers | Jul 14 2017

Advisor Team Affiliates with $1.1 Billion AUM Joins Signator Affiliate

Royal Securities Company, a 17-member advisor team based in Grandville, Michigan with $1.1 billion in assets under management, is joining VantagePointe Financial Group, an…

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News |Company |Sponsors | Jul 14 2017

FS Investments Appoints New Head of Strategy to Lead Firm’s Expansion

FS Investments, an alternative investment manager formerly known as Franklin Square Capital Partners, has hired Michael Carter as executive vice president and head of strategy. ...

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News |Company |Sponsors | Jul 14 2017

KBS Strategic Opportunity REIT II to Buy Office Property in Oakland, California

KBS Strategic Opportunity REIT II Inc., a publicly registered non-traded real estate investment trust, signed an agreement to purchase Oakland City Center, a two-building office…

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News |Regulatory |SEC | Jul 13 2017

SEC Chair Hints at Fiduciary Rule Changes in First Speech

In his first speech as chairman of the Securities and Exchange Commission, Jay Clayton discussed the fiduciary rule at the Economic Club of New York on Wednesday, saying that…

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News |Company |Sponsors | Jul 13 2017

CION and Apollo Form Joint Venture

CION Investment Group LLC and Apollo Investment Management LP, the sponsor and sub-adviser of non-traded business development company CION Investment Corporation, are creating a…

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News |Company |Sponsors | Jul 13 2017

Cantor Fitzgerald REIT Buys First Property

Rodin Global Property Trust Inc., a publicly registered non-traded REIT sponsored by Cantor Fitzgerald Investors, purchased a retail property in Grand Rapids, Michigan for $7.9…

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News |Company |Broker-Dealers | Jul 13 2017

Mercer Advisors Buys RIA with $160 Million AUM

Mercer Advisors Inc., a Santa Barbara-based registered investment advisor, has acquired Wealth Design Services, a Rochester, New York-based RIA with approximately $160 million of…

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News |Regulatory |States | Jul 12 2017

Rep. Wagner Introduces Bill to Replace DOL Fiduciary Rule With Best Interest Standard

A congressional subcommittee is holding a hearing on Thursday to review the impact of the Department of Labor’s fiduciary rule on the capital markets and to discuss legislation…

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News |Company |Sponsors | Jul 12 2017

Griffin-American Healthcare REIT IV Buys Medical Office Building in Oregon

Griffin-American Healthcare REIT IV Inc., a publicly registered non-traded real estate investment trust sponsored by American Healthcare Investors and Griffin Capital Company,...

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News |Company |Sponsors | Jul 12 2017

Cole Office & Industrial REIT Expands Board and Appoints New Director

The board of Cole Office & Industrial REIT Inc. (CCIT II), a publicly registered non-traded real estate investment trust, increased the size of the board to four directors and…

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News |Company |Sponsors | Jul 12 2017

MVP REIT II Buys Houston Parking Garage

MVP REIT II Inc., a publicly registered non-traded real estate investment trust, purchased a 500-space multi-level parking garage in Houston, Texas from System Property Development…

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News |Company |Sponsors | Jul 11 2017

Corporate Capital Trust Planning to List Shares Sooner than Expected

Corporate Capital Trust, a non-traded business development company sponsored by CNL Financial Group and KKR & Co., is taking steps to list its shares sooner than previously…

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News |Regulatory |SEC | Jul 11 2017

SEC Charges Five Individuals in Oil Well Offering Fraud

The Securities and Exchange Commission has levied charges against a purported oil well company, its founders, and three salespeople in connection with a $2.4 million offering…

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News |Company |Sponsors | Jul 11 2017

Blackstone REIT Adjourns Annual Meeting Until Late July

Blackstone Real Estate Income Trust Inc., a publicly registered non-traded REIT sponsored by private equity giant The Blackstone Group (NYSE: BX), adjourned its annual meeting of…

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News |Company |Sponsors | Jul 11 2017

Resource Interval Fund Launches New Share Class

Resource Real Estate Diversified Income Fund (RREDX), a real estate-focused closed-end interval fund, launched a new share class with a maximum load of 4.25 percent.  Class L…

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News |Company |Sponsors | Jul 10 2017

BDCA Completes Charter Amendment Vote

Business Development Corporation of America, a publicly registered non-traded business development company advised by an affiliate of Benefit Street Partners, held its reconvened…

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News |Company |Sponsors | Jul 10 2017

Financial West Team with $250 AUM Joins Vanderbilt Financial

A team of 10 advisors with more than $250 million in assets under management and formerly affiliated with Financial West Group has joined Vanderbilt Financial Group, an independent…

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