Results for "lpl financial"

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LPL rolls out blockchain separately managed account

June 18, 2018

LPL Financial has rolled out a new blockchain strategy separately managed account that LPL's advisers can offer their clients or use to build client portfolios. Blockchain is the driving force behind bitcoin and many other cryptocurrencies,...

Vermont hybrid managing $330 million moves from Lincoln to LPL

June 14, 2018

Flood Financial services, a hybrid firm managing $330 million in assets in South Burlington, Vt., has switched its broker-dealer and registered investment adviser platforms from Lincoln Financial Services to LPL Financial Services. Richard Flood,...

Advisers with billions in AUM leaving Wall Street

June 13, 2018

The biggest firms continue to lose groups of financial advisers that have billions of dollars worth of assets under management. These advisers are moving because they want to set up their own shops so they can own a business or to work at smaller...

Galvin announces settlement with LPL allowing investors to get their money back

June 13, 2018

Secretary of the Commonwealth William F. Galvin announced Wednesday that his office had reached a settlement with LPL Financial that allow Massachusetts investors who were improperly sold securities by the firm over a 12-year period to get their...

LPL in talks to sell 401(k) rollover platform to Global Retirement Partners

June 12, 2018

LPL Financial is in talks to sell Worksite Financial Solutions, a platform that helps advisers service 401(k) rollovers, to Global Retirement Partners, the largest retirement-focused advisory firm in LPL's network. LPL, the largest independent...

After firms dump protocol, advisers show reluctance to make a move

June 5, 2018

Last fall, Morgan Stanley and UBS Wealth Management Americas left an agreement among brokerage firms that allowed brokers and advisers to take a limited amount of client information to a new employer without being sued. Called the Protocol for...

LPL loses broker-dealer business of $915 million hybrid to Private Client Services

June 4, 2018

RFG Advisory, a hybrid firm based in Birmingham, Ala., whose RIA arm manages $915 million, has switched its broker-dealer affiliation from LPL Financial to Private Client Services. According to its website, the hybrid has $817 million in brokerage...

Top adviser aggregators focused on defined-contribution retirement plans

June 2, 2018

Firm Total DC assets ($B) overseen by network advisers No. of DC advisers** Primary contact Business model CAPTRUST*** $221 95 Rick Shoff Managing Director, Advisor Group Raleigh, N.C. (215) 499-3361 rick.shoff@captrustadvisors.com Acquisition....

The legacy of the DOL fiduciary rule: Almost gone, but never forgotten

June 2, 2018

Even as the Labor Department's​ fiduciary rule teeters on the edge of demise, its legacy will continue to profoundly influence how investment advice is delivered. The regulation's likely obituary will not be as heart-wrenching for its supporters...

LPL loses hybrid group managing $750 million to Triad

May 31, 2018

Pinnacle Private Wealth, a hybrid firm managing more than $750 million in assets, has switched its broker-dealer and hybrid RIA custodial platforms from LPL Financial to Triad Advisors. Pinnacle makes its headquarters in Woburn, Mass., outside...

Ex-Edward Jones broker sues former firm, alleging racial bias

May 25, 2018

A former Edward D. Jones broker sued the firm Thursday, claiming widespread, intentional racial discrimination in the firm's policies and practices. The ex-broker, Wayne Bland, is African-American and worked at Jones from 2014 to 2016. The lawsuit,...

$14 billion hybrid Sheridan Road staying with LPL, launching own RIA

May 25, 2018

Sheridan Road Financial, an advisory firm overseeing roughly $14 billion, has decided to leave Independent Financial Partners, a mega hybrid registered investment adviser, to start up its own RIA. At the same time, Sheridan Road, which has a...

What's the next act for Waddell & Reed's advisers?

May 17, 2018

The brokerage industry is frantically remaking itself. Wall Street brokers are leaving the big banks and wirehouses in droves. Independent contractor firms like LPL Financial are binging on acquisitions, while competitors like Securities America...

California rep files class action suit against Morgan Stanley

May 15, 2018

A former Morgan Stanley broker in San Francisco has filed a class action suit against the firm, saying that it violated California labor law and "unlawfully undercompensated" its reps in California for their work. The suit filed by Brandon Harvey,...

4 Reasons the Demand for Advice is Booming

May 15, 2018

As regulations tighten, technology evolves, generations shift, and client needs increase, the demand for financial advisors is accelerating.

LPL, Lightyear Capital indicate interest in acquiring Cetera Financial Group

May 15, 2018

An earlier version of this story incorrectly stated that LPL Financial had missed the deadline for signing the confidential nondisclosure agreement. LPL Financial and Lightyear Capital, the owner of Advisor Group, are in the running to buy Cetera...

How to Find the Firm That’s Just Right

May 15, 2018

As regulations tighten, technology evolves, generations shift, and client needs increase, the demand for financial advisors is accelerating.

Team managing $180 million switches from LPL to Commonwealth

May 15, 2018

TL Financial Group, which manages $180 million in assets, has changed affiliation from LPL Financial to Commonwealth Financial Network. The hybrid advisory firm, based in Southgate, Mich., is headed by Tony LaJeunesse and includes advisers Michelle...

The Advisor’s Guide to Digital Marketing

May 15, 2018

Explore ways to build your business and deepen client value through today’s digital opportunities.

LPL closing Worksite Financial Solutions 401(k) platform

May 14, 2018

LPL Financial announced that it is closing Worksite Financial Solutions, a program that helps 401(k) participants and advisers with rollovers from retirement plans, at the end of September. Andy Kalbaugh, managing director and divisional president...

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