LPL Financial

A team of four women is moving to LPL in pursuit of what they say is a less difficult, lower-fee alternative.

Upon closing, the deal will push Wealth Enhancement’s advisor head count beyond 70 financial planners.

The No. 1 IBD drew in a team composed of both CPAs and advisors.

The four-advisor practice joined the No. 1 IBD after its CEO pledged to transform the company’s culture.

Firms’ head counts show how they’re responding to a challenging time in which experts predict the number of advisors to fall in coming years.

A settlement with Massachusetts regulators resolved a nontraded REIT case, but NPH’s terminations from FINRA and a handful of states are still pending.

The issuing organization is working to expand the number of firms allowing the certified kingdom advisor title to be used in marketing materials.

Stratos Wealth and other OSJs are offering more types of affiliation and equity deals in a bid to stem a competitive threat.

Planners ranging from sole practitioners to the largest OSJ enterprises welcomed the CEO’s comment that the firm's culture was not aligned with its strategy.

The OSJ spans dozens of advisors, and it marks at least the ninth major exit following a change in policies at the No. 1 IBD.

The move by the multi-generational practice stemmed from LPL’s self-clearing capabilities, one of the advisors says.

Robert Russo says the Independent Advisor Alliance has recruited nearly three dozen IFP reps, and other large enterprises have also made inroads.

The ongoing shift away from commissionable products is driving major changes in the space.

Firethorn Wealth Partners gets started with the help of tru Independence.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.

The firms may or may not be vying against one another, but their advisor forces are moving in different directions.

The largest firms’ combined VA and FA revenues hit a three-year low in 2017, but the products still make up a significant portion of their businesses.

The No. 1 IBD adapted Riskalyze to its still-evolving ClientWorks portal and added Black Diamond to its discounted vendor program.

The regulator accused the four firms and the Advisor Group network of supervisory failures in sales of L-share VAs in separate but near-identical cases.

Dan Arnold says the firm remains interested if deals are a match for the No. 1 IBD.