Jen Roche, who was instrumental in steering Osaic's rebrand, will join LPL Financial's communications and public relations department.

The addition of Ari Hadida, who joins from Valor Advisors, is part of CV’s strategy of building a single-family office at scale.

The Shining actress appears to have died intestate.

Alberto Francis is leaving Bank of America Private Bank to form Rockview Private Wealth through LPL’s high-net-worth-focused employee affiliation model.

Financial advisors view the market correction as a normal course of events and a good buying opportunity. “Market volatility is my best friend,” one advisor said. “This is an opportunity to show clients why they pay us a fee, to navigate difficult...

The commission’s enforcement division first contacted the wirehouse in April regarding “advisory cash balances swept to affiliate bank deposit programs.”

RIA M&A activity has plateaued in recent months, but 2024 is still on track to surpass 2023 volume, according to DeVoe & Company’s latest RIA Deal Book.