Hopkins is leaving Carson Group to be closer to home, but will remain a Carson partner and continue to lead the FinServ Foundation.

Front Barnett represents “one of many” anticipated wealth management acquisitions as Mesirow kicks off its new growth strategy.

The ratings agencies are concerned that Cetera’s planned acquisition of Avantax could weaken its financial profile.

Recruited away from Morgan Stanley, Los Angeles-based The Francis Group is the latest team to join LPL’s SWS division, the IBD’s premium affiliation model that went live in April 2020.

Dakota Wealth, Mariner, Paragon, Cetera, tru Independence and Osaic all added advisors this week, while Berthel Fisher and Dynasty Financial Partners announced some executive changes.

The SEC should classify smaller firms based on employee headcount instead of assets under management, according to the IAA’s General Counsel.