Home Tags Registered investment advisor

Tag: registered investment advisor

LPL Financial Adds $360 Million Team from Wells Fargo Advisors

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

Atria Wealth Solutions to Acquire NEXT Financial

Atria Wealth Solutions Inc., a wealth management holding company with subsidiaries that serve independent financial advisors and financial institutions, has agreed to acquire NEXT...

Former HD Vest CEO Takes the Reins at HighTower

HighTower, an independent fee-based advisory firm, has named industry veteran Bob Oros as its new chief executive officer. Oros, who has more than 20 years...

LPL Financial Adds $130 Million Credit Union Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added Power Investment Services at Power Financial Credit Union to its broker-dealer and corporate registered...

Massachusetts Regulator Fines Former Stifel Nicolaus Adviser for Overcharging Clients

The Massachusetts Securities Division has charged a Cape Cod investment adviser with operating a scheme which overcharged his clients and diverted commissions and fees...

Howard Capital Names Former Bluerock Exec as Managing Director of National...

Howard Capital Management Inc. (HCM), an SEC-registered investment advisory firm with more than $1.5 billion in assets under management, has appointed Carla Martin as...

LPL Financial Adds $640 Million Stofan Agazzi Investments

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

Private Equity Firm Taps Goldman to Sell Kestra Financial

Private equity firm Stone Point Capital is planning to sell independent broker-dealer Kestra Financial Inc., less than three years after it purchased the firm...

LPL Financial Nabs Former Cetera Trio with $185 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added John Marshall & Associates Investment Center to its broker-dealer and corporate registered investment advisor...

LPL Financial Lures Retirement & Investment Group From Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Retirement & Investment Group has joined LPL's broker-dealer and corporate registered investment advisor (RIA)...