Displaying 13 results
Signature RIA set to open broker-dealer
The new broker-dealer expects to transition up to 30 financial advisors who are currently registered with Osaic.
Goodbye, Royal Alliance. Hello, Osaic Wealth
The Royal Alliance name and brand had been around since 1989.
LPL adds Royal Alliance team overseeing $230 million in assets
Lexington, Kentucky-based VFG Wealth Management and Benefit Solutions works with both individuals and small businesses.
Advisor Group makes rebranding campaign official
A new name is forthcoming, and the firm's eight independent broker-dealers will be merged under that new name in 18 months.
Advisor Group adds $212 million team from Cetera
Westlake Village, California-based Silverberg Wealth Management is joining NWF Advisory Group, which is affiliated with Royal Alliance.
Finra smacks Advisor Group with $1.3 million penalty over private placement sales
The four Advisor Group firms sold investors GPB private placements but failed to tell them that GPB hadn't made required filings, including audited financial statements.
New Jersey hybrid managing $500 million links to Concourse
Ramsey-based Key Group Management had been affiliated with Royal Alliance.
Trio managing $366 million at Voya joins Royal Alliance
Altus Consulting Group, based in Texas and Wisconsin, becomes an office of supervisory jurisdiction.
Acquisition will create mega OSJ
Nashville, Tennessee-based GenXFinancial is acquiring Boston Partners Financial Group to form a $9 billion firm.
OSJ managing $550 million switches to LPL from Royal Alliance
Walnut Beech Advisors maintains offices in Michigan and New York
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.
Royal Alliance to pay $1.4 million over nontraded REIT, VA sales
Award is tied to string of cases brought by retirees who said a broker placed them in unsuitable investments.
