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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...

FINRA Approves IFP’s Broker-Dealer Application

Independent Financial Partners, currently a hybrid registered investment adviser and office of supervisory jurisdiction (OSJ) with LPL Financial, has been approved by FINRA to...

LPL Financial Adds Former Summit Brokerage Firm to Platform

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Patriot Wealth Management to its broker-dealer and corporate registered investment advisor platforms. Patriot joins...

Former Morgan Stanley Team Launches Independent RIA in New York

A team that oversaw $650 million in client assets at Morgan Stanley, has launched Opal Wealth Advisors, an independent registered investment advisor based in...

LPL Financial Adds Former Kestra Team to its RIA and IBD...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Regal Wealth Advisors to its broker-dealer and corporate registered investment advisor platforms. Regal joins...

IFP Nabs Financial Backing from Two Partners Ahead of Broker-Dealer Launch

Independent Financial Partners (IFP), a registered investment adviser and office of supervisory jurisdiction for LPL Financial, has finalized financial commitments from two partners, Pacific...