The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.

Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

Also this week, Hightower invests in a large RIA and Bernstein names a new head of wealth management.

LPL Financial is well known to advisors but not necessarily to their clients. A new ad campaign airing this weekend during PGA Championship coverage aims to change that.

Despite the notable flows and valuations, some sellers get locked into an ill-fitting parent firm without many options for getting away.

The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.

Also this week, a Dynasty Financial firm picks up a $1.5B team from Morgan Stanley, Wells Fargo recruits from PNC Investments and UBS, and LPL draws from Osaic.

In an earnings call, LPL's CEO said his efforts to woo Commonwealth advisors have extended to a "rain-soaked" bike ride and wine-tasting tour.

Our research-driven program recognizes money managers with superior company practices, cultures, programs and benefits.

Our research-driven program recognizes RIAs with superior company practices, cultures, programs and benefits.