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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...

Genstar-Backed Mercer Global Advisors Buys $510 Million AUM Firm

Mercer Global Advisors Inc., a registered investment advisor backed by Genstar Capital, has purchased Jackson Financial Management Inc., a large wealth management firm located...

Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

IFP Officially Launches Independent Broker-Dealer After Terminating LPL Contract

Independent Financial Partners has officially terminated their contract with LPL Financial and started the process of transitioning to its new independent broker-dealer entity. IFP left...

New Jersey Proposes Fiduciary Rule

The New Jersey Bureau of Securities has proposed a new fiduciary regulation that requires all registered financial services professionals in the state to be...

SEC Charges Investment Adviser with Stealing Millions from Private Fund

The Securities and Exchange Commission has revoked the registration of a Seattle-based registered investment adviser and barred its principal from the securities industry for...

Mercer Advisors AUM Tops $15 Billion with Latest Acquisition

Mercer Global Advisors Inc., a national registered investment advisor, has acquired Confluence Financial Advisors LLC, a comprehensive wealth management firm located in Boulder, Colorado...

LPL Financial Recruits Community First Investment Group

LPL Financial LLC, the nation’s largest independent broker-dealer, has recruited Community First Investment Group, the investment program offered at Community First Bank of Indiana....

LPL Financial Adds Former Wells Fargo Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Team Preheim Advisory to its broker-dealer and corporate registered investment advisor platforms. Founded by Karl...