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Edward Jones advisor overseeing $380 million switches to Raymond James
Willard Causey and two staffers operate as Causey Financial Group in Durham, North Carolina.
Advisor Group adds $212 million team from Cetera
Westlake Village, California-based Silverberg Wealth Management is joining NWF Advisory Group, which is affiliated with Royal Alliance.
Advisor Group RIAs add alts, and fresh conflict, to platform
The agreement between Advisor Group and CAIS on sales of alternative investments, and the revenue such sales would generate, is the crux of the matter.
$400 million team in Arizona joins LPL from PlanMember Securities
Scottsdale-based One2One Wealth Strategies will align with Mariner Advisor Networks, which will provide portfolio consulting and tax services.
Edward Jones advisor managing $330 million jumps to Raymond James
William Anderson, who had been affiliated with Edward Jones since 2002, will operate as S.W. Anderson Financial in Salt Lake City.
Bank program managing $475 million joins LPL
C&N Wealth Management, a unit of Pennsylvania-based Citizens & Northern Corp., will use LPL’s institutional platform.
Advisor Group to rebrand — more to follow
It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.
LPL adds Securities America team managing $200 million
Stephen Walker and Wes Alston operate as Walker Alston Financial Group in San Antonio, Texas.
LPL snags $850 million Securian team in wake of Cetera deal
Toledo, Ohio-based Financial Design Group has 14 advisors. Over the winter, recruiters had cited LPL as one of the firms likely to target Securian advisors.
Cetera to advisors: Selling your practice requires our OK
If financial advisors don't seek the firm's approval, they risk running afoul of securities regulators, Cetera said.
Indiana-based Edward Jones advisor joins LPL Financial
Kemp Cunningham, with $125 million in assets, will operate as Emerald River Wealth Management in Granger.
UBS advisor overseeing $315 million in assets joins Raymond James
New York-based Steven M. Rozencwaig will join the firm’s Manhattan office.
LPL adds $220 million team from Cadaret Grant
Bellevue, Washington-based SC Financial Group was founded in 2008 and has four advisors.
How stocks of wealth management firms are holding up this year
Focus Financial is going private. There’s a banking crisis. What has the impact been on these companies?
Finra slaps B-D with $180,000 fine over former advisor’s sale of Ponzi
The rep at Hornor Townsend & Kent sold securities known as Future Income Payments; according to the Department of Justice, that was a nationwide Ponzi scheme.
LPL adds Cetera team managing $250 million
Money Matters, a firm with offices in Florida and Alabama, is led by Ron Clark and George Brkljacic.
As RIAs chase scale, smaller practices will scramble to stay relevant: Report
Research from Advisor Growth Strategies sees smaller firms facing increased pressure to grow or specialize to meeting rising client expectations.
Amid market turmoil, LPL shares get boosted to buy by CFRA
The firm will continue to benefit from interest rates than are higher right now than any time since before the credit crisis, according to CFRA analyst Michael Elliott.
Raymond James adds Wells Fargo team with $450 million in assets
The father-son pair, David and Paul Gwidt, will operate as Gwidt Wealth Management Group in Racine, Wisconsin.
Edward Jones advisors with $185 million in assets join LPL
Lucas Mijares and Jesse Ettlin are launching Zion Capital Wealth Management in Grass Valley, California, and aligning with Mariner Advisor Network.
