Along with price and client care, the process of integrating team members into the acquiring firm offers challenges as well as upside.
The move boosts data processing speed and establishes a modern infrastructure to build out the firm's vision for an all-in-one technology suite.
Lane MacDonald had been chief investment officer of FMR’s diversified investments group.
The trio of advisors will operate as the Todd Halbrook and Adam MacDonald Wealth Management Group in Newport Beach, California.
As the firm announces a settlement of suits brought by Preston Hollow Community Capital, Nuveen announced that John Miller is retiring and will be replaced by Daniel Close.
Advisors evaluating alts for their clients should focus on what clients want to achieve as part of a well-diversified portfolio and understand their clients' cash flow requirements.
Chattanooga, Tennessee-based William F. Winchester III was registered with LPL Financial from 2007 to 2012 and then with Raymond James Financial Services.
Experts detail the nuances of navigating ownership transition plans, and it's rarely a straightforward and easy path.
Most financial advisors aren't prepared for the next generation, and many wealthy heirs will be looking to move.
It's all part of the push by the private equity-owned network of independent broker-dealers toward an initial public offering.
Finra's action was another by the broker-dealer self-regulator that targets a best-execution failure by a member firm.
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
When things change, recency bias would have us wait rather than move forward.
Investment firms are re-upping their investment in college women through new donations to the summer immersion program.
Elements provides a mobile Scorecard app that evaluates a prospect’s financial data and provides an evaluation score across 12 measurements.
Treat staff like clients and inform them with the best thinking about financial planning. You'll help them achieve their goals — and yours.
The hiring of Rachel Curley comes amid other leadership changes at the industry group, including a new CEO.
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.
Zineb Bennani has worked for parent firm Natixis since 2005.
Open claims against the Iowa-based broker-dealer totaled $32.1 million at the end of 2022, eight times what it reported a year earlier, according to an SEC filing.
