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The AmeriFlex Group Adds Three Wealth Management Practices Overseeing $721 Million

The AmeriFlex Group, an advisor-owned hybrid registered investment advisor, has added three wealth management practices that oversee a combined $721 million in client assets. Colorado-based...

SEC Charges Cambridge with Failing to Disclose Conflicts over Mutual Fund...

The Securities and Exchange Commission has charged registered investment adviser Cambridge Investment Research Advisors Inc. with failing to disclose material conflicts of interest and...

Advisor Group Adds Three Industry Executives to Team

Advisor Group, a network of independent wealth management firms, has hired three executives across operations, marketing and advisor engagement, including Tim Hodge as executive...

CI Financial to Acquire $5 Billion Wealth Management Firm

CI Financial Corp. (NYSE: CIXX, TSX: CIX), a dual-listed investment and wealth management company, has agreed to purchase Corient Capital Partners LLC, a Newport...

LPL Financial Recruits $1 Billion Team from Wells Fargo

LPL Financial, the nation's largest independent broker-dealer, reported that financial advisors Jason Howard, Shane Kunz, and Chad Horne, have joined the firm to launch...

SEC Charges and Fines 12 More Firms for Failing to Meet...

The Securities and Exchange Commission reported that six registered investment advisers and six broker-dealers have agreed to settle charges that they failed to file...

LPL Recruits Father/Son Advisor Team from Raymond James

LPL Financial LLC, the nation’s largest independent broker-dealer, has added father and son financial advisors Steve and Jeremy Friedman to its broker-dealer, hybrid registered...

LPL Reports $1.21 Trillion in Advisory and Brokerage Assets in 4Q21

LPL Financial Holdings Inc. (Nasdaq: LPLA), the parent of LPL Financial LLC – the nation’s largest independent broker-dealer, reported that total advisory and brokerage...

Advisor Group Recruits Four Advisors with $232 Million in Client Assets

Advisor Group, a network of independent wealth management firms, has recruited four financial advisors who collectively oversee more than $231.5 million in total assets....

SEC Charges Former UBS Advisor with Stealing $5.8 Million from Client

The Securities and Exchange Commission has charged German Nino, a former securities broker and investment adviser representative for UBS Financial Services Inc., with stealing...
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