Monthly Archives: February 2017

Investment Adviser and Unregistered Firm Caught Stealing Investor Funds

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On February 2, 2017, the SEC charged Sentinel Growth Fund Management, a Connecticut-based investment advisory business, and its owner with stealing investor money to settle a private lawsuit among other expenditures.

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Filed under Investment Advisers

Are You Considering Breaking Away?

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The number of advisers considering breaking away from a traditional broker-dealer business model is on the rise. According to the latest research from Echelon partners, last year alone, more than 400 teams broke away from their broker-dealers to go independent, with over 15% becoming their own RIAs.1

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Filed under Broker-Dealers, Investment Advisers