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Independent broker-dealers have found happy acquiring grounds in the insurance industry in recent years, as sellers seek to avoid heavy regulation and thinner margins.
October 8 -
LPL directors terminated CEO Dan Arnold's employment after an outside law firm found comments he had made to employees had violated the firm's code of conduct.
October 1 -
The 17-person Canell Group joins Wells Fargo's offices in New York.
September 30 -
RIAs including Abacus Planning Group, Beta Wealth Group, Integrated Advisors Network were accused of violations ranging from making unsubstantiated statements to claiming membership in nonexistent organizations.
September 9 -
The legal action comes after executives expressed comfort with their firm's deposit rates in a recent earnings call.
August 28 -
FINRA's settlement with Merrill gives the wirehouse credit for "extraordinary cooperation" with its investigation.
July 3 -
Tech titans Envestnet and Salesforce said they are partnering to offer a broader, more streamlined platform for advisors.
May 13 -
Combining the two partner firms will create an RIA with more than $50B under management.
May 6 -
The private equity-backed advisory aggregator plans to use a consolidation process in "coming months" to bring its various brokerages under one brand.
May 6 -
The merger "will fundamentally transform the RIA ecosystem," tru CEO Craig Stuvland says.
May 1
