A duo from LPL and two Wells Fargo reps are affiliating with the firm’s independent unit.
Humanity Wealth Advisors sets up shop in California’s Bay Area.
A group of advisers based in Miami are moving to the Raymond James unit.
Brian Nydegger’s Point 32 Investment Partners sets up shop in Westhampton, New York.
President John Carson is retiring at year-end, while Canadian head Paul Allison will become executive chairman.
After a trying 2020, large Northeastern RIAs saw growth this year rebound to 8.8%. The InvestmentNews annual review of RIAs by region includes firms with $100 million or more in assets.
The four-adviser team, HPK Provident Advisors, is based in Bridgeville, Pennsylvania, and Sarasota, Florida.
The Clauss & Ellison Group, a three-person team from Merrill Lynch, is joining the firm’s employee adviser channel.
Robbie Moseley joins the firm from Edward Jones, where he headed talent acquisition for the eastern region.
The four-adviser HBGW Group is moving to Baird’s office in Greenville, South Carolina.
Advisers at First Citizens Investment Center at Iowa-based First Citizens Bank were previously affiliated with Cetera.
New York’s Kuttin Wealth has attracted a large team from 1879 Advisors and another adviser from Cadaret Grant.
Sam Cone, Jessica McNamee and Grace Yung are joining the group, whose members have diverse backgrounds and specialties.
Two advisers from Truist and a trio from Merrill Lynch are moving to the firm's employee channel.
Over four years, the New York-based broker-dealer failed to identify trading that was potentially excessive and unsuitable in hundreds of customer accounts, according to Finra.
Francine Payson and Tarek Salhab are joining the firm's employee unit in Fort Myers, Florida.
Scott Howell will open an office in Summit, New Jersey.
Ohio-based River Cities Financial Services is led by Michael Anthony.
Since 2020, LPL has signed three major agreements to provide retail brokerage and advisory services to banks and credit unions.
David Winchell is setting up his own firm, Winchell Financial Group, in Las Vegas.
