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New LPL program gives advisers more tools to attract, serve the rich
The Private Client Service Network will help select LPL advisers assist their clients with such tasks as the sale of small or midsize businesses; hedging concentrated stock positions; and specialty lending.
Billion-dollar Merrill trio bolts for Cetera
The three advisers are setting up shop as Harvest Wealth in the Maryland suburbs of Washington.
Wells team managing $630 million goes indie with Raymond James
Four advisers in Columbia, South Carolina, form Vision Wealth Advisors.
Wells Fargo to focus on indie B-D business. For real
Wells Fargo's IBD, FiNet, hasn't been 'a growth priority' for the wirehouse. Now it is. How has the strategy changed?
LPL sniffing around Philly broker-dealer: Report
Boenning & Scattergood is nearing an expected restructuring and may sell its wealth management business, according to the Philadelphia Inquirer.
Reps at firm that sold GWG bonds wanted more exposure to risky alts: B-D execs
Bill Hamm of IFP Securities said the SEC started its inquiries last year into broker-dealers that had sold GWG bonds.
Wells Fargo duo managing $205 million goes indie with LPL
Encore Capital Management, based in Glendale, California, affiliated with LPL Financial through the Financial Services Network, an OSJ on the LPL platform.
Midlevel a rich but overlooked vein for diverse talent
The greatest opportunity for change lies in the middle — at the branch or regional management level — where diversity programs fall behind or are abandoned in favor of the status quo.
RayJay appoints sustainable investing head
Samantha Trebesch previously led the firm's private client group strategy and planning team.
Janney duo managing $375 million moves to Alex. Brown
The father-and-son team of Bill and W. Grove Stewart will operate as Stewart Wealth Advisory Group in Annapolis, Maryland.
Raymond James completes acquisition of TriState Capital
The Pittsburgh-based private bank will continue to operate as a separately chartered institution.
United Planners adopts private network solution
The independent broker-dealer says the cybersecurity system from cleverDome offers more control than a virtual private network.
After latest deal, Advisor Group debt is stable but still ‘highly speculative’: Fitch
Fitch Ratings noted that the rating affirmation reflected Advisor Group's "improving scale as one of the largest independent financial advisers in the U.S."
Cetera adds teams managing almost $400 million
Sonnenfeld Financial Group is based in Minnesota and Lincoln Capital Inc. in San Diego.
No longer ‘annuicide’: How insurance products are reaching the fee-based channel
RIA Lab session looks at the insurance industry's evolution toward providing custodial-like relationships with advisers.
Merrill team managing $409 million joins Raymond James
The three advisers, based in Spokane, Washington, will operate as Panorama Wealth Management of Raymond James.
Advisor Group to buy large bank broker
Infinex Investments Inc. has 750 financial advisers at bank and credit union programs who control more than $30 billion in client assets.
Kestra adds Envestnet’s retirement solutions
Plan advisers will be able to use Envestnet's retirement plan tools on the Kestra platform.
10 IBDs with the highest portion of female reps
Women are underrepresented in the advice industry, but at some independent broker-dealers, they make up a significant portion of the producing reps.
10 IBDs that earn the most in fees
Independent broker-dealers’ shift toward fee revenue continued in 2021. Here are the firms that earned the most in fees last year.
