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As one advisor leaves Commonwealth Financial Network to join Osaic and others depart to start RIAs, industry experts say the departures are in line with expectations.
July 9 -
Patrick Funke & Associates' decision to join Commonwealth Financial Network suggests that despite its pending purchase by LPL, Commonwealth still appeals to advisors seeking a smaller setting.
June 24 -
Jamie Price of Osaic says attrition at his firm was below expectations during its recent internal consolidation of nine separate brokerages and that not having a self-clearing and self-custody business is an advantage these days.
June 18 -
The deal marks the purchase of one private equity-owned firm by a much larger one with majority private equity backing.
June 17 -
Matt Schlueter, executive vice president of operations and technology solutions, spoke to Financial Planning about how tech stack flexibility and integration keep such a large organization running.
April 4 -
John Hicks, the chief marketing officer of Ausdal Financial Partners, sees his firm's lack of private equity ownership as a big part of its appeal.
March 5 -
Affiliated Advisors aims to recruit, retain and advance wealth management professionals with resources aimed at three different career stages.
February 20 -
The wealth management business of the world's largest credit union and its 14 million members opted to choose its own destination after a giant M&A deal.
January 28 -
FINRA charges restitution but forgoes punitive fines for the three firms after crediting them for cooperating in its investigation.
December 20 -
The 10 largest transitions include deals by LPL and Osaic, hybrid RIAs that received private equity infusions and even a new public offering by a SPAC investor.
December 11