Tag: registered investment advisor
Former UBS Advisor Jumps to LaSalle St.
LaSalle St., a family of wealth management firms encompassing independent broker-dealer and two registered investment adviser platforms, announced former UBS Financial Services vice president...
Wealth Advisory Firm with $250 Million in Assets Under Administration Joins...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that the advisors of Wooster Square Advisors joined Cetera Advisor...
Cetera Recruits Two Advisors with $218 Million in Assets Under Administration
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that Michael Hall, financial advisor, and Michael Ostdiek, registered representative,...
$206 Million Firm Joins Cetera
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that the advisors of True Wealth Advisor Group have affiliated...
Three Firms Managing More Than $600 Million Join Cetera
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that three teams managing approximately $610 million in assets under...
Cetera Makes Strategic Investment in $1.7 Billion Prosperity Advisors
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that it has made a minority investment in $1.7 billion...
SEC 2023 Exam Priorities Include Marketing Rule, Reg BI and Private...
The Securities and Exchange Commission’s division of examinations announced its 2023 examination priorities.
“In a time of growing markets, evolving technologies, and new forms of...
Cetera Reports Record Recruitment in 2022, Adds $13 Billion in Assets...
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that it attracted more than $13 billion through organic recruiting...
LPL Expands Investor and Investment Solutions Leadership Team with Two New...
LPL Financial LLC, the nation’s largest independent broker-dealer, announced the addition of two executives to the firm’s “investor and investment solutions leadership team.“
Cory Triolo...
Cerity Completes Third RIA Acquisition in January, Adding $8.6 Billion in...
Cerity Partners LLC, a $62 billion-dollar registered investment advisor, announced that the firm has acquired Maryland Capital Management, a registered investment advisor headquartered in...
LPL Financial Expands Board of Directors with Addition of Albert Ko
LPL Financial Holdings Inc., the nation’s largest independent broker-dealer, announced that Albert Ko has been elected to the company’s board of directors as an...
Cetera Financial Recruits $2.5 Billion RIA
Cetera Financial Group, one of the nation’s largest networks of independently managed broker-dealers, announced that The Patriot Financial Group, an independent, registered investment advisor...
DFPG Adds $1.25 Billion in AUM During 4th Quarter
DFPG Investments, a dually registered independent broker-dealer and registered investment advisor, announces that it added a record $1.25 billion of new assets through recruiting...
The DI Wire’s Top 10 Stories of 2022
As the year comes to an end, The DI Wire has compiled a list of our Top 10 most-read news stories of 2022. Over...
Top Ten Reasons New Sponsors Fail
By: Jan Ryan, JCC Capital Markets
The direct participation program industry can be extremely lucrative, but a high percentage of new sponsors fail. Even sponsors...
$600 Million Kansas RIA Joins LPL
LPL Financial LLC announced that Strategic Partners Inc. has joined LPL Financial’s broker-dealer, registered investment advisor and custodial platforms, aligned with National Financial Alliance.
Strategic...
Choreo Acquires $275 Million RIA
Choreo LLC, a company that provides investment advisory services, financial planning, and other wealth management services to individuals and businesses, announced that it has...
Los Angeles RIA Affiliated with LPL Acquires $860 Million RIA
Perennial Financial Services, a registered investment advisor affiliated with LPL Financial, acquired Ford Financial Group, a fellow LPL-affiliate based in Fresno, Calif. that oversees...
Perigon Wealth Management Acquires $330 Million RIA and Adds Financial Advisor
Perigon Wealth Management, an independent wealth management firm with more than $4 billion in client assets under management, acquired Nauset Wealth Management LLC of...
Commonwealth Adds $750 Million Minnesota RIA
Commonwealth Financial Network announced the addition of Minnesota-based Ryan Financial Group to its network of financial advisors.
Formerly with Lincoln Financial Group, chairman Jack Ryan,...
