Tag: financial services
iCapital Affiliate Appointed Investment Adviser of KKR Fund, KKR Closes Investment...
iCapital RF Adviser, a new subsidiary of financial technology platform iCapital focused solely on registered fund management, has been appointed investment adviser of the...
Former Wells Fargo Advisor Launches Independent Practice with LPL Financial
LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Richard Pakes to its broker-dealer and corporate registered investment advisor platforms. Pakes...
AIX Partners with Kalos Financial’s Independent Broker-Dealer
Alternative Investment Exchange (AIX), a financial technology services provider focused on non-traded alternative investments, has partnered with Kalos Financial’s independent broker-dealer to streamline its...
Wealth Enhancement Group Buys $1.75 Billion Boston-Based RIA
Wealth Enhancement Group, an independent wealth management firm, has purchased North American Management, an independent registered investment adviser based in Boston that has $1.75...
Shopoff Names Senior Vice President to Lead Development Team
Shopoff Realty Investments, a manager of opportunistic and value-add real estate investments, has promoted James O’Malley to the role of senior vice president of...
Shopoff Sells 45 Acres of Land in Riverside County California
Shopoff Realty Investments, a manager of opportunistic and value-add real estate investments, has sold 45 acres of raw land in Riverside County to Pulte...
Good Life Companies Appoints Chief Operating Officer
Good Life Companies (Good Life), an independent hybrid registered investment advisor, has appointed Rachel Bashore as chief operating officer to oversee all aspects of...
FINRA Fines Securities America for Violating Customer Privacy
The Financial Industry Regulatory Authority has fined Securities America $125,000 for purportedly helping 12 recruited brokers take nonpublic personal customer information from their former...
LPL Financial Adds $675 Million Team
LPL Financial LLC, the nation’s largest independent broker-dealer, has added WWK Investments to its broker-dealer, corporate registered investment advisor and custodial platforms. The family...
Advisor Group Launches National Advisory Board
Advisor Group, a network of independent wealth management firms, has launched its new National Advisory Board (NAB), consisting of 12 advisors from across its...
