Displaying 2452 results
Sanctuary lands $1B team from Stifel
The Indianapolis advisory practice, which includes a five-decade industry veteran, is Sanctuary's third big firm in the area.
$180M advisor rejoins Equitable from Cetera
The California-based advisor's practice focuses on Mandarin-speaking clients.
Commonwealth girding for loss of up to $24M in fight with SEC
It's highly unusual in the securities industry for a broker-dealer to put up such resistance to a regulator like the SEC.
Osaic adds $360M team from Cetera
Based in Minnesota, the multi-advisor practice does financial planning and portfolio management for mass-affluent retirees and pre-retirees.
Merrill Private Wealth Management chief to lead Citi Private Bank North America
Citibank incumbent is retiring after 22 years with the firm.
Independent Advisor Alliance enters Illinois with $165M team
The newest practice to affiliate with the firm is leaving Securities America after more than 30 years.
LPL Financial welcomes Kansas boutique practice
The team is coming under LPL’s umbrella after managing $150M in advisory, brokerage, and retirement plan assets at Stifel.
Cetera scores $400M win with Hawaii credit union alliance
The broker-dealer says it will provide ‘innovative solutions and services’ to the credit union.
Raymond James adds teams from Morgan Stanley, UBS
The firm welcomes a $350 million duo in New England, and an advisor in Florida who had managed a $235 million book.
Texas duo leap to LPL from Lincoln
The two wealth industry veterans are bringing over $140 million in advisory, brokerage, and retirement plan assets.
Marshall Wealth Management Group has a new name for a new beginning
The Cadaret Grant-affiliated firm in Los Gatos, California, manages almost $370 million.
JPMorgan acquires ex-Fortress investment tech firm LayerOne
The deal will improve JPMorgan's offering for hedge funds.
Osaic welcomes $240M duo from LPL
The South Carolina-based wealth practice caters to retirees, pre-retirees, and small business owners and professionals.
LPL’s chief product officer to depart firm
The executive responsible for broker-dealer’s tech and wealth offerings is leaving as part of broader organizational realignment.
Ameriprise bracing for $50 million penalty over messaging
'There's no rhyme or reason regarding how these penalties are determined,' one industry executive says.
B. Riley posts loss, cuts payout
The firm says it will delay filing its annual report, citing a review of transactions with a key client that have drawn attacks by short sellers.
With great growth comes great conflicts for RIAs
Where Wall Street goes, trouble is sure to follow.
LPL Financial adds $515M team from PNC
Indiana-based Endeavor Wealth Strategies wants to add resources to meet its high-net-worth clients’ needs.
Merrill Lynch $320M duo joins Ameriprise
The Tacoma, Washington, team was attracted by advisor-client experience.
JPMorgan in partnership talks for private credit push
The Wall Street bank is reportedly in advanced discussions with potential partners.
