Osaic

Advisor Group surpassed LPL at the top of the list, but consolidation, complexity and change remained the key themes in a highly competitive channel in 2022.

Advisor Group, Ameriprise, Cetera, Commonwealth, LPL and Raymond James are getting bigger and streamlining a crowded field of business as they go.

Securities America has paid more than $15 million in an SEC case and settlements with the fraud victims of Hector May and his daughter, Vania May Bell.

An innovative hybrid firm's new brokerage displays how the industry is placing advisory business at the center of its well-financed plans for the future.

These are the largest firms with financial advisors who work with broker-dealers but aren't their employees.

An ex-Woodbury Financial advisor faces 10 felony counts as the industry and regulators keep working on getting better at detecting and preventing scams.

Two Securities America brokers and their firm must pay the large award after a case that leaves many unanswered questions.

The private equity-backed firm and other giants of the industry are deploying their capital across new and existing lines of business.

A giant wealth manager is expanding its reach in a rapidly consolidating channel of the industry that simultaneously needs to hire a lot more financial advisors.

The enterprise left Kestra for Triad Advisors as part of the largest recruiting addition to the independent wealth manager in years.

With succession plans fueling the industry’s continuing records in M&A deals, one firm is trying to address the challenge through its acquisition strategy.

Kristin Kimmell brings decades of experience and notable success as the replacement to the former head recruiter promoted only last year.

The Advisor Group IBD missed 55 alerts suggesting suspicious disbursements by clients of Hector May, according to the SEC.

The private equity-backed wealth and 401(k) manager drew away an ex-Hightower team as part of its surging growth in the past year.

The litigation reveals how wealth managers’ deals with product sponsors work and how one with a former Voya unit went awry.

The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.

The growing practice’s founder dropped his FINRA registration after 14 years with KMS Financial Services.

The wealth manager aims to build connections and take feedback through a new group resembling ones launched by rivals in recent years.

As wealth managers compete for advisors, the firm picked a former one to lead it.

In the newly created position of vice president of digital solutions, Peter Clemson will oversee the creation of a unified platform for 11,000 advisors.