Appeals court overturns SEC’s CAT funding plan, broker-dealers face new uncertainty.
Meanwhile, a father-son pair of advisors and ex-marines from ex-Edward Jones gives Kingsview its newest location in Arkansas.
Meanwhile, Cetera has boosted its own recruitment numbers with new additions from LPL and Osaic.
The organization overseeing the CFP mark is looking for its next chief executive as Kevin Keller is set to step down in April next year.
In his comments to analysts, CEO Paul Shoukry alludes to - but does not name - Commonwealth Financial as a factor.
The new offerings, including managed options on Franklin's canvas platform, come as managed account assets surge in the US to hit $13.7 trillion.
After leaving LPL in 2020, it hasn't gone Cornick's way at Osaic.
UBS has also regained some ground as it recruited an experienced Merrill advisor in New York.
LPL Financial is a bellwether for the broader financial advice marketplace.
UBS and Wells Fargo have made their own additions in the Northeast, including a Massachusetts duo defecting from Commonwealth.
The co-founder of IFG discussed with InvestmentNews the unique opportunity that remaining independent offers to build a successful firm.
Three industry leaders will join the hybrid RIA's president and LPL alum, Andy Kalbaugh, to help guide its organic and merger-based growth strategy.
Latest survey shows digital tactics and empowerment top of mind for early-career advisors to be satisfied with their firms.
Elsewhere in Utah, Raymond James also welcomed another experienced advisor from D.A. Davidson.
A federal appeals court says UBS can’t force arbitration in a trustee lawsuit over alleged fiduciary breaches involving millions in charitable assets.
Survey reveals how cutting through the noise is advisors' superpower.
Plus, a $400 million Commonwealth team departs to launch an independent family-run RIA in the East Bay area.
"I respectfully request that all recruiters for other BDs discontinue their efforts to contact me," writes Thomas Bartholomew.
The latest snapshot report reveals large firms overwhelmingly account for branches and registrants as trend of net exits from FINRA continues.
With more than $13 billion in assets, American Portfolios Advisors closed last October.
