The industry regulator has sanctioned three broker-dealers in the Cetera network for weak controls around low-priced securities and customer reporting.
The federal regulator's latest notes give compliance teams breathing room on endorsements, while emphasizing its view on the use of actual vs. model fees when presenting portfolio performance.
The privately held mega-RIA's latest addition in Louisiana officially joins the more than 1,000 financial advisors across its $45 billion independent advisory channel.
The Omaha-based RIA's new structures around mentorship, feedback, and promotion aim to keep younger G2 and G3 advisors engaged.
Also, Wells Fargo's recruitment rolls on with a billion-dollar-plus group from Commonwealth while LPL adds an Ameriprise team in Houston.
The Rams owner’s latest mega-deal spotlights how an elite circle of billionaires is amassing control over ranches and farmland as an asset class.
The Larry Fink-led asset manager posted strong inflows and fee growth to end 2025, while insisting credit conditions are stable in its core portfolios.
New data show LPL, Edward Jones, and other national players leading amid a surge in credential holders, with more women and diverse advisors entering the field.
Leadership shakeup adds former Salesforce and LPL executives to guide product, data and technology strategy for the advisor-focused platform.
Also, Bluespring's latest addition forms a $1.7 billion practice, while Credent unveils a deal double to start its 2026 acquisition season.
