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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...

Lightyear’s Wealth Enhancement Group to Acquire Another Billion Dollar RIA

Wealth Enhancement Group, an independent wealth management firm that oversees $11.8 billion in client assets, has agreed to acquire AEPG Wealth Strategies, a registered...

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...

SEC Bars Longtime Transamerica Broker for Stealing

The Securities and Exchange Commission has barred Pedro Gonzalez-Seijo, a broker formerly affiliated with Transamerica Financial Advisors Inc., after he pled guilty to bank...

SC Distributors Names Vice President of National Accounts

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Crystal Rutkowski as vice president of national accounts. Rutkowski’s background includes experience...

SEC Charges Former LPL Broker and Convict Friend for Selling Unregistered...

The Securities and Exchange Commission has charged Thomas Conwell and his childhood friend and former LPL broker, Kerry Hoffman, for fraudulently selling securities to...