Results for "lpl financial"

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10 largest RIA aggregators focused on defined-contribution plans

May 18, 2019

Firm Total D-C assets 
overseen by network advisers ($B) Number 
of D-C 
advisers* Primary 
contact Business 
model Captrust** $256 102 Rick Shoff Managing director Raleigh, N.C. (215) 499-3361 rick.shoff@captrust.com Acquisition RIA:...

Hybrid adviser managing $140 million switches affiliation from FSC to LPL

May 15, 2019

Michigan Retirement Advisors, a hybrid adviser managing $140 million, has changed its broker-dealer affiliation from FSC Securities Corporation to LPL Financial. It is also moving its advisory business to LPL's registered investment adviser...

LPL Financial opening its coffers for adviser acquisitions

May 6, 2019

LPL Financial is letting its affiliate advisers know that if they want to expand, it can help with the financing. Indeed, the firm has kicked off 2019 by raising the issue with advisers at conferences and has increasingly been willing to discuss...

LPL's recruiting starts the year where it left off in 2018

May 3, 2019

LPL Financial in the first quarter picked up where it left off in 2018, reporting after the market close Thursday that it added $7.1 billion in recruited asssets in the first three months of the year. That's more than one quarter of LPL's total...

2019 top independent broker-dealers ranked by revenue

April 24, 2019

Firm 2018 revenue ($M) % change vs. 2017 2018 commission revenue ($M) % change vs. 2017 2018 fee revenue ($M) % change vs. 2017 2018 other revenue ($M) % change vs. 2017 1 LPL Financial LLC 5188.4 21.2 1919.7 14.9 1793.5 27.3 1475.2 22.8 2 Ameriprise...

Finra suspends former star LPL rep who borrowed client cash

April 24, 2019

James E. "Jeb" Bashaw, a former star broker with LPL Financial, was suspended for four months by the Financial Industry Regulatory Authority Inc. on Tuesday for borrowing $200,000 from a customer in 2013 without telling LPL, a violation of industry...

IBD report: Another impressive year

April 20, 2019

Despite a stock market decline, the largest independent broker-dealers turned in another stellar year in 2018, with revenue for the top 25 firms participating in an InvestmentNews survey reaching $25.5 billion, a 14.7% increase over 2017. The...

How are broker-dealers helping 401(k) advisers adapt to a changing market?

April 19, 2019

Bryan Hodgens, co-head of LPL Financial's Retirement Partners group, says the industry is getting much better at connecting advisers to wealth management opportunities and helping scale their businesses.

InvestmentNews announces 2019 Innovation Awards winners

April 17, 2019

Six firms received InvestmentNews Innovation Awards Wednesday night for their creative and effective approaches to helping advisers run better businesses, improve client outcomes and tackle other planning industry challenges. The winners were...

Fate of New Jersey fiduciary standard could come down to politics, court

April 16, 2019

A New Jersey proposal to raise investment advice standards is benefitting from strong political momentum at the outset, which may protect it from financial industry opposition. On Monday, the state's Securities Bureau released a proposal for...

After losing billions in assets, giant hybrid RIA set to open broker-dealer

April 11, 2019

On the verge of opening a new broker-dealer, William Hamm over the past year has seen billions of dollars in assets and hundreds of reps and advisers walk out the door of his firm, Independent Financial Partners, a hybrid RIA. A year ago, InvestmentNews​...

Finra bars former LPL broker over possible loans from clients

April 8, 2019

The Financial Industry Regulatory Authority Inc. has barred former LPL broker James Bylenga of Kalamazoo, Mich., for failing to take part in a Finra inquiry regarding his conduct. Mr. Bylenga was affiliated with LPL Financial from 2016 until...

Financial advice increasingly technology-enhanced

April 8, 2019

The financial advice industry has largely sat dormant as society at large has undergone a sweeping technology revolution. But that dynamic is set to shift over the next few years, according to a panel of adviser technology experts. "You look...

Finra fines former LPL rep $5,000 over viatical sale

April 5, 2019

The Financial Industry Regulatory Authority Inc. has fined Scott Klor, a former registered representative who had been affiliated with LPL Financial, $5,000 and suspended him for 14 months for his involvement in a lie insurance scheme not disclosed...

Kestra loses $11 billion retirement group to LPL

April 4, 2019

Strategic Retirement Partners, an advisory firm with $11 billion in retirement plan assets, has joined GRP Financial, the largest retirement-plan-focused hybrid RIA that uses LPL Financial as its broker-dealer. Strategic Retirement Partners,...

Air Force veteran-turned-adviser clashes with First Command

April 4, 2019

First Command Financial Planning Inc. is an independent broker-dealer that recruits retired military personnel. But one of the firm's former advisers — a disabled Air Force veteran — is unhappy with how he was treated and last month filed...

Merrill adds to 401(k) fiduciary services

March 25, 2019

Merrill is expanding its roster of fiduciary services available to 401(k) clients, a move that comes amid a broader push by wirehouses and large brokerage firms to change the way they work with smaller retirement plans. Merrill announced Monday...

Voya Financial Advisors exposes more sensitive adviser information on its website

March 22, 2019

Weeks after a computer glitch risked exposing the Social Security numbers of its 1,800 registered reps and financial advisers, Voya Financial Advisors Inc. again revealed sensitive information about its advisers. This time, a list on the Voya...

LPL's record recruiting year came with a cost — signing bonuses skyrocketed in 2018

March 15, 2019

LPL Financial last month reported a record amount of assets recruited to its platform last year. In a recent filing with the Securities and Exchange Commission, the firm revealed that those assets came with a cost — recruiting bonuses on its...

Broker team managing $200 million joins group linked to LPL

March 15, 2019

John Mara and Shaun Feldeisen, Boston-based advisers who managed $200 million in assets at Northwestern Mutual Investment Services, have joined Bleakley Financial Group. The team's four-person support staff also made the move. Bleakley is overseen...

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