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Former Merrill Lynch Advisor Launches Practice with LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, reported that financial advisor Peter Shunyia has joined the firm to launch his independent practice, Shunyia...

Captrust Buys Texas-Based RIA with $2.6 Billion in Client Assets

Captrust Financial Advisors, an independent registered investment advisor, has purchased Covenant Multifamily Offices, a Texas-based wealth management firm with more than $2.6 billion in...

Former Wells Fargo Financial Advisor Joins LPL Financial

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Guy Rodgers to its broker-dealer, corporate registered investment advisor, and custodial platforms....

Captrust Appoints Former Raymond James Exec as Chief Financial Officer

Captrust Financial Advisors, an independent registered investment advisor, has appointed Robert Miller to the role of chief financial officer. As CFO, Miller oversees the company's...

LPL Financial Recruits Former Morgan Stanley Advisor

LPL Financial LLC, the nation's largest independent broker-dealer, has added financial advisor Douglas Chin to its broker-dealer, corporate registered investment advisor, and custodial platforms. Formerly...

LPL Financial Recruits Adviser Managing $260 Million

LPL Financial LLC, the nation's largest independent broker-dealer, has added Lindsey Rhea of Alia Wealth Partners to its broker-dealer, corporate registered investment advisor, and...

ADISA Names Award Winners at 2021 Annual Conference in Las Vegas

ADISA, a trade association for the alternative and direct investment space, announced the 2020 and 2021 winners of its A Champion of Excellence (ACE),...

Wealth Enhancement Group to Surpass $50 Billion in Client Assets with...

Wealth Enhancement Group, an independent wealth management firm, plans to purchase New York-based QCI Asset Management Inc., an independent registered investment advisor with 12...

SEC Charges Former Adviser with Stealing $1 Million from Three Elderly...

The Securities and Exchange Commission has charged former investment adviser Naseem Mohammed Salamah with fraud after he allegedly stole at least $968,600 from three...

Coldstream to Merge with $463 Million Wealth Management Firm

Coldstream Wealth Management, an employee-owned, independently operated wealth management firm, announced plans to merge with Rosenbaum Financial, a Portland, Oregon-based registered investment advisor with...