A Syracuse, N.Y.-based advisory team managing more than $500 million in client assets have left Cadaret, Grant & Co. to join Commonwealth Financial Network.
Michael Roberts Associates, which includes advisors Neil Hoyt, Rachel Roney, Jeffrey Klein, Sonnet Loftus and Paul Ahrens, serves some 1,500 clients around the country. The firm provides financial planning, retirement planning and asset management.
Cadaret, Grant, an independent broker/dealer with about 900 advisors also based in Syracuse, was recently acquired by Atria Wealth Solutions, the private equity-backed wealth management holding company launched by former Morgan Stanley executive Doug Ketterer.
In September, the Securities and Exchange Commission censured the IBD and ordered it to pay disbursement to clients who were sold an unsuitable leveraged oil-linked exchange traded note. At the same time, the Financial Industry Regulatory Authority has settled with the firm over failure to adequately oversee the sales of variable annuities. In the FINRA matter, the firm agreed to pay an $800,000 fine.
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