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SEC Charges Former LPL Rep with Defrauding Elderly Client

The Securities and Exchange Commission charged Bradley A. Goodbred, a former registered representative with LPL Financial, with stealing $1.3 million from an elderly client,...

SEC’s Electronic Messaging Sweep is a Warning Shot for Broker-Dealers and...

By ordering more than $1.1 billion in penalties against the world’s largest banks and brokerages based on admissions of willful violative conduct, the Securities...

EP Wealth Advisors Expands to East Coast with Acquisition of $1.1...

EP Wealth Advisors LLC, an independent registered investment adviser, has acquired Massachusetts-based Minot Wealth Management LLC, a fee-only RIA with approximately $1.1 billion in...

SEC Bars Former Ameriprise Financial Investment Advisor

The Securities and Exchange Commission has barred Arthur S. Hoffman, a former investment adviser representative of Ameriprise Financial Services.Hoffman began his career at Morgan...

LPL Financial Adds Former Altruist Executive to Management Team

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that Pete Dorsey has joined the firm as executive vice president of institution services. Dorsey...

Vero Wealth Management Joins Linsco by LPL Financial

LPL Financial LLC, the nation’s largest independent broker-dealer, announced that financial advisors Benjamin Link and Steve Sexton have joined LPL’s employee advisor model, Linsco...

SEC Charges Former Advisor with Misappropriation of Client Funds

The Securities and Exchange Commission has charged David Sheldon Wells, a former representative of an SEC-registered broker-dealer and investment advisory firm, Fifth Third Securities...

SEC Charges Hudson Advisors and Lone Star Global Over Fund Fees

The Securities and Exchange Commission has charged two registered investment advisers, Hudson Advisors L.P. and Lone Star Global Acquisitions Ltd., for including Hudson’s owner’s...

Wealth Enhancement Group Adds Hybrid RIA with $663 Million in Client...

Wealth Enhancement Group, an independent wealth management firm with more than $56 billion in total client assets, has added Pinnacle Private Wealth, a hybrid...

ExchangeRight Expands Broker-Dealer and RIA Relations Team with SVP Hire

ExchangeRight, a sponsor of securitized 1031 exchange real estate offerings, has expanded its broker-dealer and registered investment advisor relations team, adding Melissa Birdsall as...

ADISA Executive Director Previews Association’s Annual Conference

The DI Wire had a chance to sit down with John Harrison, executive director of the Alternative and Direct Investment Securities Association, ahead of...

Perigon Merges with PM Wealth Management, Forms Strategic Alliance with Prager...

Perigon Wealth Management, an independent wealth management firm with $3.6 billion in client assets, has merged with PM Wealth Management, a New York-based registered...

SEC Begins Administrative Proceedings Against Broker Serving 7.5 Years in Federal...

The Securities and Exchange Commission has instituted public administrative proceedings against Leon Vaccarelli, a former broker and investment adviser who is currently serving 7.5...

SEC Charges Advisory Firm and Executives with $75 Million Fraud

The Securities and Exchange Commission has charged two North Carolina-based executives, Gregory E. Lindberg and Christopher Herwig, and their registered investment adviser, Standard Advisory...

Advisor Group’s SagePoint Financial Recruits Team with $203 Million in Client...

SagePoint Financial, an independent wealth management firm within the Advisor Group network, has added Brian Falconer and his team of 16 registered representatives to...

Triton Pacific Securities Expands RIA Capital Markets Team with New SVP...

Triton Pacific Securities, the dealer manager of private equity firm Triton Pacific Capital Partners, has recently expanded its registered investment advisor capital markets team,...

ExchangeRight Adds SVP to Broker-Dealer and RIA Relations Team

ExchangeRight, a sponsor of securitized 1031 exchange real estate offerings, has expanded its broker-dealer and registered investment advisor relations team, adding Michele Drummond as...

SFA Partners Hires Director of Business Development

SFA Partners, a group of financial services firms, has hired Bryan Yvon as director of business development. In his new position, Yvon will focus...

LPL Financial Hires EVP of Corporate Strategy and New Ventures

LPL Financial LLC, the nation’s largest independent broker-dealer, has hired Katelyn Shackleton as executive vice president of corporate strategy and new ventures. In her...

Preferred Capital Securities Hires Vice President of Due Diligence

Preferred Capital Securities LLC, an independent managing broker dealer, has hired Christina Miranda as vice president of due diligence. In her new role, she...