LPL Financial

Slight shifts in the makeup of the biggest firms in the channel reflect a more complicated picture than sheer dominance by the giants at the top.

An LPL independent contractor accuses the firm of not doing enough to stop salacious remarks directed at him that started after a top Bank of Springfield executive learned he was gay.

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.

The latest push-pull episode between the giant firm and its large branches came to light in its earnings call. Unanswered questions loom large for its future.

A founder of Harbor Lights Financial Group said he and his partners scouted possible private equity buyers and decided LPL was the best option for preserving their firm's legacy.

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.

The latest court dispute between the two wealth management giants issues a widespread indictment against LPL's recruiting practices.

With the exact timeline and eventual destination unclear, the private equity-backed firm was revealed as one of two major OSJs departing from LPL.

The surprise announcement of their exit distracted from some record metrics and the firm's indication that it will be keeping its cash sweep yields the same.

The family-run Investment Advisors Financial Group team brings $1 billion in assets.

The latest legal action over the industry's handling of clients' uninvested cash suggests sweeps are a bigger profit generator than most firms let on.

A look at which firms had the biggest loan balances and revenue numbers and the relationship between the two.

Firms that haven't been afraid of generous recruiting offers have shown the greatest growth in recent years.

LPL accuses its rival of hindering "competition in the financial services space" through its "cynical" attempts at frightening advisors into staying put.

The Atlanta-based independent broker-dealer thinks some advisors will always feel ill at ease at big firms that keep getting bigger. That's where it sees its opportunity.

The partners at Pilot Financial have been through only one acquisition in their firm's history — the recent sale of Lincoln Financial's wealth groups to Osaic — and they're not eager to repeat the experience.

Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.

Higher expenses from the record headcount of financial advisors and a continuous stream of recruits and acquisitions are investing in the firm's future earnings, though.

The wealth program at Kinecta Federal Credit Union is changing brokerage, RIA and custodian as the industry fights for recruits of all sizes in the channel.

Kinecta Wealth Management, the wealth arm of Kinecta Federal Credit Union, will switch firms by the end of the year.