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Massachusetts Solicits Preliminary Comments on Proposed Fiduciary Rule

The Massachusetts Securities Division plans to enter the state fiduciary rulemaking ring and is seeking preliminary comment on a proposed regulation that would apply...

FSI Comments on New Jersey’s Proposed Fiduciary Rule

The Financial Services Institute, a trade group representing independent financial advisors and financial services firms, has submitted a 12-page comment letter to the New...

Atria Wealth Solutions Adds General Counsel to Executive Team

Atria Wealth Solutions, Inc. (Atria), a wealth management holding company, has hired Patricia Solfaro as general counsel. In this executive management role, Solfaro will focus...

Lightyear-backed Wealth Enhancement Group to Buy Hybrid with $1.3 Billion in...

Wealth Enhancement Group, an independent wealth management firm that oversees $11.3 billion in client assets, has agreed to purchase Planning Solutions Group LLC, a...

LPL Financial Adds Former Oppenheimer Advisor with $220 Million in Client...

LPL Financial LLC, the nation’s largest independent broker-dealer, recruited J.R. Frenzel, a Bridgeport, West Virginia-based financial advisor who has aligned with Good Life Companies,...

Wells Fargo Names New Head of Asset Management Unit

Wells Fargo & Co. (NYSE: WFC), a financial services company with $1.9 trillion in assets, has appointed Nico Marais as chief executive officer and...

LPL Recruits Former Waddell & Reed Team

LPL Financial LLC, the nation’s largest independent broker-dealer, has added financial advisors Jake Murray, Mike Canavan and Jill Phillips of Teton Wealth Management to...

Great Lakes Fund Solutions Expands Management Team

Great Lakes Fund Solutions Inc., a registered transfer agent and investor services outsourcing company, has hired Gabriela Maganlal as financial and product management officer...

Independent Broker-Dealers and RIAs Expect Higher Revenues in 2019

ADISA, a trade association representing the retail alternative investment space, has released the results of its inaugural market prediction survey, which was conducted with...

Former UBS Team Leaves Wirehouse Channel for Kestra

Kestra Private Wealth Services, LLC (Kestra PWS), a registered investment adviser subsidiary of Kestra Financial Inc., has added Three Bridges Planning, a five-person team...