LPL CEO Rich Steinmeier said the firm is nearing its goals for retaining Commonwealth Financial Network's assets and advisors, freeing up internal recruiters to bring in advisors from other firms.
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Across more than two years of advisor surveys, industry worries have evolved dramatically. Yet certain themes continue to capture attention.
October 31
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Many financial advisors say that mentorship was key to their early success. Here's how advisors found and built those relationships.
October 31
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Wells Fargo pulls $722M in AUM from Merrill while Osaic adds a $540M team from Primerica (but gets sued); Stifel sells independent unit, and First Clearing names new head.
October 30
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Voters in 20 states will be asked to weigh in on ballot referendums and measures concerning an estimated total of $3.1 billion in potential tax hikes.
October 30
The awards recognize early-career brokers that have created top production numbers at their wealth management firms.
Financial Planning announces its 2025 class of the top 40 most productive employee wealth management brokers under age 40.
Financial Planning announces its 2025 class of the top 40 most productive employee brokers under age 40 at regional U.S. firms.
In an industry with too few advisors, many say the failure rate for newcomers remains disconcertingly high. But brokers on Financial Planning's top 40 under 40 list say they wouldn't be where they are without early career training.
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Financial advisors know how to guide clients through volatility, but the math displaying the portfolio risks of AI may present an altogether different challenge.
October 29
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Unpopular compensation changes at UBS continue to drive advisor attrition, costing the firm billions in client assets. But despite the outflows, executives say the new policy is helping improve UBS' profits.
October 29
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It isn't just the data itself that firms should be focused on, panelists at ADVISE AI said, but how that data is connected and how relevant it still is.
October 29
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Morgan Stanley acquires EquityZen, a private share trading platform, expanding its offerings for fast-growing startups.
October 29
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Resources and personal connections offer significant advantages. But financial advisors and other experts say they only get new RIAs part of the way.
October 28
