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LPL Financial Adds Former Altruist Executive to Management Team

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Pete Dorsey has joined the firm as executive vice president of institution services. Dorsey...

Vero Wealth Management Joins Linsco by LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Benjamin Link and Steve Sexton have joined LPL’s employee advisor model, Linsco...

Capital Square Launches Private Equity Group

Capital Square, a sponsor of tax-advantaged real estate investments, launches its Private Equity Group, a new corporate division that will focus on single-family build-for-rent...

Former LPL Broker Pleads Guilty to Fraud and Witness Tampering

James Kenneth Couture, a registered investment adviser and former LPL broker accused of stealing nearly $3 million from six clients, has pled guilty to...

NASAA REIT Proposal Garners Objections from Industry Advocates

The North American Securities Administrators Association (NASAA), a non-profit association of state, provincial, and territorial securities regulators, received public comment on proposed revisions to...

Wealth Enhancement Group Adds Hybrid RIA with $663 Million in Client...

Wealth Enhancement Group, an independent wealth management firm with more than $56 billion in total client assets, has added Pinnacle Private Wealth, a hybrid...

ExchangeRight Expands Broker-Dealer and RIA Relations Team with SVP Hire

ExchangeRight, a sponsor of securitized 1031 exchange real estate offerings, has expanded its broker-dealer and registered investment advisor relations team, adding Melissa Birdsall as...

ADISA Executive Director Previews Association’s Annual Conference

The DI Wire had a chance to sit down with John Harrison, executive director of the Alternative and Direct Investment Securities Association, ahead of...

Perigon Merges with PM Wealth Management, Forms Strategic Alliance with Prager...

Perigon Wealth Management, an independent wealth management firm with $3.6 billion in client assets, has merged with PM Wealth Management, a New York-based registered...

iCapital and Ares Wealth Management Solutions Expand Partnership

iCapital, a global fintech platform focused on alternative investments, and Ares Wealth Management Solutions (AWMS) have expanded their partnership to provide financial advisors and...

Cetera Recruits $140 Million Team from Commonwealth

Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, has recruited Cramer Capital Management, a Kansas City-based team formerly affiliated...

FINRA Fines and Suspends Former SagePoint Broker

The Financial Industry Regulatory Authority has fined and suspended Michael Ferrera Jr., a former SagePoint broker accused of failing to disclose an outside business...

Atria’s Cadaret Grant Adds Former UBS Team with $600 Million in...

Cadaret Grant, an independent wealth management firm and subsidiary of Atria Wealth Solutions Inc., has recruited a team of former UBS financial professionals led...

SEC Charges Advisory Firm and Executives with $75 Million Fraud

The Securities and Exchange Commission has charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their registered investment adviser, Standard Advisory...

Advisor Group’s SagePoint Financial Recruits Team with $203 Million in Client...

SagePoint Financial, an independent wealth management firm within the Advisor Group network, has added Brian Falconer and his team of 16 registered representatives to...

SEC Amends Whistleblower Rules to Incentivize Tips

The Securities and Exchange Commission has amended the rules governing its whistleblower program, which was established in 2010 under the Dodd-Frank Act.The first rule...

iCapital to Buy UBS’s $7 Billion Alternative Investment Feeder Fund Platform

iCapital, a global fintech platform focused on alternative investments, has agreed to purchase UBS Fund Advisor LLC, the alternative investment manager and the feeder...

ExchangeRight Adds SVP to Broker-Dealer and RIA Relations Team

ExchangeRight, a sponsor of securitized 1031 exchange real estate offerings, has expanded its broker-dealer and registered investment advisor relations team, adding Michele Drummond as...

NexPoint Expands Distribution Team with Four New Hires

NexPoint, an alternative investment firm, recently hired four new sales and marketing professionals, as part of the "ongoing expansion" of its distribution capabilities in...

Cantor Fitzgerald Mourns Death of President Anshu Jain

Cantor Fitzgerald L.P., a global financial services firm, has confirmed that the firm’s president Anshu Jain died after battling a serious illness. He was...