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LPL Financial Recruits Former Kestra Group with $500 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Charton Financial Group to its broker-dealer and corporate registered investment advisor platforms. Edward Charton, principal...

SEC Charges Atlanta Fund Adviser and Its Principal for Fraudulently Overvaluing...

The Securities and Exchange Commission has charged Paul Alar of Atlanta, Georgia, and his investment adviser firm, West Mountain LLC, for fraudulently overvaluing assets...

Pacific Oak Capital Names Chief Financial Officer

Pacific Oak Capital LLC, a sponsor of commercial real estate-focused alternative investments programs, has appointed Michael Bender as chief financial officer. “Michael is a veteran...

IFP Hires Former Cambridge Exec as New Chief Compliance Officer

Independent Financial Partners, an independent broker-dealer and multi-custodial registered investment advisor that split from LPL Financial earlier this year, has hired Melissa Loner as...

Voya Launches Robo-Advice Platform

Voya Financial Advisors Inc., retail wealth management arm of Voya Financial Inc., has launched a new hybrid digital advice platform for its network of...

EP Wealth Advisors Expands to Phoenix with Latest RIA Acquisition

EP Wealth Advisors LLC, an independent registered investment adviser with more than $4.9 billion in assets under managment, has acquired Pathlight Investors LLC, which...

LPL Financial Recruits $1.1 Billion Team from Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, has added the financial advisors of PacNorth Retirement Group to its broker-dealer and corporate registered investment...

Artivest Names New Chief Financial Officer

Artivest, an independent digital platform for alternative investing, has appointed Karl Jaeger as chief financial officer. Jaeger has more than 25 years of experience in...

SEC Bars Investment Adviser Charged with Defrauding Retail Investment Advisory Clients

The Securities and Exchange Commission has charged Fieldstone Financial Management Group LLC and its principal Kristofor Behn, with defrauding retail investment advisory clients by...

SEC Charges Founder of Bankrupt Advisory Firm with Fraud

The Securities and Exchange Commission has charged a founder and managing principal of a New York-based investment adviser for misappropriating approximately $2.6 million from...