Though the number of fines increased from 2022 by 63%, the disciplinary actions declined for the third straight year, according to an analysis from the law firm Eversheds Sutherland.

The Palm Financial Group has joined Baird’s Madison West office.

A total of 9,674 experienced advisors changed jerseys in 2023, according to the most recent Diamond Consultants Advisor Transition Report.

Closed-end funds can help advisors achieve alpha for their clients, said FLX's CEO. However the market remains under-served when it comes to education and thought leadership.

Understanding the activity of your peers will help you become a smarter advisor and a better steward for your clients.

LPL is accused in a lawsuit of convincing three of the advisors at Lamkin Wealth Management and their clients to leave the firm, allegedly resulting in a $450 million AUM drop overnight.

Birmingham, Ala.-based Brian Pflaum evaluated his options when his broker/dealer, Lincoln Financial Advisors, decided to sell to Osaic.