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Advisor Group adds two execs to leadership team
Dimple Shah is named executive vice president of corporate strategy and Iryna Northrip becomes chief compliance officer for investment advisory.
Advisor Group adds CAIS alts platform
The addition gives access to a menu of alternative investment products, including hedge funds, private equity, real estate and private credit.
Large retirement plan consultant switches to Triad
Gallagher Retirement Plan Consulting, which is based in Elmhurt, Illinois, had previously been affiliated with Kestra.
Advisor Group B-Ds face slew of GPB claims
Four Advisor Group broker-dealers recently reported facing 58 investor suits totaling $19.4 million related to the private placement investments.
Adviser managing $155 million switches from Ameriprise to SagePoint
Divorce-related issues are specialty of Rehoboth, Massachusetts-based Lars Lambrecht.
Finra tags two firms with penalties due to mutual fund sales
Emerson Equity and Triad Advisors reached end-of-the-year settlements related to complaints about poor supervision of certain mutual fund sales.
LPL hauls in Elite Financial Network from Securities America
Elite Financial Network has 32 financial advisers in its network across California.
FSC reps managing $230 million switch to LPL
The four-adviser team, HPK Provident Advisors, is based in Bridgeville, Pennsylvania, and Sarasota, Florida.
Big questions out there for Advisor Group
Advisor Group last week lost a star financial adviser, Kevin Myeroff. That's always a delicate time for a broker-dealer network.
Woodbury, Hartford on hook in $100,000 claim after stepson steals from stepdad
Advisory firms for years have continued to be plagued by imposters seeking access to clients' accounts.
Acquisition will create mega OSJ
Nashville, Tennessee-based GenXFinancial is acquiring Boston Partners Financial Group to form a $9 billion firm.
Advisor Group replaces top recruiting officer
Gregg Johnson, the firm's executive vice president of recruiting and revenue acquisition, has been replaced by Kristen Kimmell from RBC Wealth Management.
Team managing $221 million joins Woodbury from Raymond James
The trio of advisers operates as Compass Wealth Solutions and is based in Portland, Indiana.
FSC adviser managing $200 million switches to LPL
Joel Drake in Des Moines, Iowa, is affiliating through The Wealth Consulting Group, an office of supervisory jurisdiction.
In Advisor Group lawsuit, the right hand is suing the left
The independent broker-dealer, backed by Reverence Capital Partners, is suing an annuity company owned, in part, by the same private equity firm.
OSJ managing $550 million switches to LPL from Royal Alliance
Walnut Beech Advisors maintains offices in Michigan and New York
Team with $583 million joins SagePoint from Kestra
Charles Stephen, an Albuquerque, New Mexico-based firm with four advisers, will affiliate through super-OSJ AmeriFlex.
Team managing $450 million switches to LPL from Sagepoint
Arizona’s Progressive Financial Concepts will affiliate through an LPL office of supervisory jurisdiction, Wealth Consulting Group.
Team managing $440 million joins LPL from Royal Alliance
The eight-adviser Monteverde Group is based in Pittsburgh.
Advisor Group firms boost legal reserves
Royal Alliance Associates Inc., SagePoint Financial Inc., and FSC Securities Corp., increased legal reserves by as much as three times the amount of the prior year.
