LPL Financial

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

In a bid to further enhance its capabilities for advisors, the firm is also slashing ETF transaction fees on select funds later this year.

The No. 1 IBD also nominated a new board member and tapped key executives for advisor support and government relations.

Independent Financial Partners aspires to be a “very, very small agent for change.”

In the first full year under Atria Wealth, the firm added programs from banks and credit unions with $7 billion in assets.

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

When it comes to building these relationships, it’s better to start early.