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EP Wealth Acquires $200 Million Bay Area RIA

EP Wealth Advisors LLC, an independent registered investment adviser with $5.3 billion in assets under management, has purchased Personal Financial Consultants Inc., a $200...

HighTower Makes Investment in Billion Dollar Massachusetts RIA

HighTower, one of the nation's largest registered investment advisory firms, has made a “strategic” investment in Lexington Wealth Management, a Lexington, Massachusetts-based advisory group...

ProEquities CEO Wins FINRA Large Firms Board Seat

Chris Flint, the president and CEO of ProEquities, has won the large firms seat in this year’s FINRA board of governors’ election over incumbent...

Genstar-Backed Mercer Global Advisors Grows Northeast Presence with Latest Acquisition

Mercer Global Advisors Inc., a registered investment adviser with more than $16.5 billion in client assets, has purchased Regent Wealth Management Group, an RIA...

Ladenburg Invests in Impact Investing Start-Up Targeting Millennial Investors

Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), a publicly-traded financial services company, has invested in Newday Financial Technologies Inc., a San Francisco-based startup focused...

SC Distributors Hires Senior Regional Vice President for Southeast Territory

SC Distributors LLC, a wholesale distributor of alternative investment offerings, has hired Andrew Eisen to oversee the sales and marketing efforts of SC Distributors...

LPL Financial Adds Former UBS Broker with $160 Million Of Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisor Cary L. Hall Jr., founder and chief executive officer of CLH Wealth...

Ei Capital Distributors Adds Five to Business Development Team

Ei Capital Distributors, the advisory and distribution arm of financial-technology firm EveryIncome Holdings, has added five senior employees to its business development and distribution...

LPL Financial to Acquire Firm with $3 Billion in Client Assets

LPL Financial Holdings Inc. has agreed to acquire Allen & Company of Florida Inc., a broker-dealer and registered investment adviser with 30 advisors that...

SEC Charges Commonwealth with Failing to Disclose Conflicts on Revenue Sharing

The Securities and Exchange Commission has charged Commonwealth Financial Network, a registered investment adviser and broker-dealer that manages approximately $85 billion in client assets,...