Robert Moore Returns to LPL as CEO of Private Advisor Group

Nov 18, 2020

The move puts him on the other side of the table at the independent broker/dealer LPL Financial, where he served as president until 2015.

Clayton Defends Share Class Initiative in Senate Hearing

Nov 17, 2020

The testimony before the Senate Committee on Banking, Housing and Urban Affairs is likely to be Clayton's final appearance in Congress before leaving his role as SEC chair by year-end.

Semantic Search Startup Magnifi Hires Former Broadridge Exec as Chief Product Officer

Nov 17, 2020

Tom Van Horn, with experience dating back to portfolio management provider FinFolio, joins Magnifi.

Lido Advisors Buys Fixed Income Team From First Western Capital Management

Nov 17, 2020

Lido’s purchase from First Western Financial builds out its investment offerings and services to clients.

DOL's Fiduciary Proposal Is Running Short on Time

Nov 16, 2020

The Labor Department's potential fiduciary exemption faces review by an incoming Biden administration if it is not published in its final form 60 days before the inauguration.

$2 Billion Advisory Duo Joins LPL From Morgan Stanley

Nov 16, 2020

John Gallagher and Mark Levin will be aligning with Gladstone Wealth Partners to establish Maverick Partners Wealth Management, which will be based out of Marlton, N.J.

Celebrity Estates: Tom Carvel and Why Having Too Many Executors Can Melt an Estate

Nov 16, 2020

Thinking he was covering all his bases, Tom Carvel of Carvel Ice Cream appointed no fewer than seven executors to manage his estate upon his death. Unfortunately, having so many hands in the pot turned out to be a recipe for disaster.