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Kestra Financial Affiliate Acquires $1.1 billion RIA

Bluespring Wealth Partners LLC, an affiliate of Kestra Financial that focuses on the acquisition of registered investment advisor and wealth management firms, has purchased...

TriLinc Global Selects CommonGood as New Broker-Dealer

TriLinc Global LLC, a sponsor of non-traded impact investing offerings, has chosen CommonGood Securities LLC to serve as its independent broker-dealer. “We are very excited...

LPL Adds Former FSC Securities Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited financial advisors Cris Arnold, David McIllwain, Charlotte Martin and Brenda Speer, who collectively oversee...

Ladenburg Discloses Complaints Against Subsidiary Broker-Dealer Over GPB Sales

Ladenburg Thalmann Financial Services (NYSE: LTS), a publicly traded financial services firm, disclosed in its quarterly financial report that multiple arbitration claims and one...

Advisor Group and Ladenburg Thalmann to Merge in $1.3 Billion Deal

Advisor Group, one of the nation's largest networks of independent wealth management firms, and Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly traded...

LPL Financial Recruits Hybrid from Lincoln Financial

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

Hartford Funds Launches First Interval Fund

Hartford Funds, an asset manager that provides mutual funds, exchange traded funds, and 529 college savings plans, has launched its first closed-end interval fund,...

LPL Recruits Former Ameriprise Advisor

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Christopher Sweeney to its broker-dealer and corporate registered investment advisor platforms. The move...

SEC Proposes to Modernize General Solicitation Rules

The Securities and Exchange Commission has voted to propose amendments to modernize the rules under the Investment Advisers Act addressing investment adviser advertisements and...

Private Equity-Backed Wealth Enhancement Group to Buy $1.4 Billion RIA

Wealth Enhancement Group, an independent wealth management firm that oversees $13.6 billion in client brokerage and advisory assets, has agreed to purchase RCL Advisors...