Industry

Strata Financial Group opted to move to LPL because of its “transparency and robust public presence,” according to one advisor.

Auria will combine portfolio management, performance reporting, CRM and other tools.

Kaival Patel was previously convicted of charges stemming from a plan to collect commissions on falsely prescribed compound medications, according to the Justice Department.

Allworth adds 25 tax professionals with its purchase of CCA, a CPA firm in Pleasant Hill, Calif.

The deal marks Robinhood’s move into wealth management. The firm says it wants to connect its investors with human advisors.

In a motion filed this week, Sanctuary claimed there was “no evidence” a FINRA sanction against a Sanctuary subsidiary had “any adverse economic effect” on EverNest’s business.

If you’re not at the table, you’re on the menu.

Nicholas Takahashi and his team managed about $1.3 billion when it left the wirehouse earlier this year, but Morgan Stanley alleged the rep was breaking his non-solicitation vows.

The virtual conference and its slick platform showcased plenty of useful third-party technology, and it was free for advisors.