LPL Pulls in $400 Million in Assets With New Recruits

Nov 08, 2019

LPL Financial adds advisor Christopher Sweeney and Hege Financial Group after a robust recruitment in the third quarter.

Advisor Growth Community Comes Out of Beta With Price Increase, Freelance Marketplace

Nov 08, 2019

The Advisor Growth Community will open up to new members in January. Here's what you can expect.

Scenes From the 2019 Schwab IMPACT Conference

Nov 08, 2019

More than 5,000 attendees spent the week in San Diego at the Schwab IMPACT Conference, hearing from the likes of Charles Schwab himself and attending events like a One Republic concert.

Sandy Spring Bancorp Picks Up $1.3 Billion RIA, Increases Its AUM to $4.5 Billion

Nov 07, 2019

Sandy Spring Bancorp, a community bank with some 50 branches in the Mid-Atlantic area, will acquire fee-only RIA Rembert Pendleton Jackson.

The Industry Participated In a Global Cyber Attack Simulation

Nov 07, 2019

SIFMA and others took part in the Quantum Dawn V exercise this week; here’s how it went.

Dead Celebrity Podcast: Robin Williams' Best-Laid Plans

Nov 07, 2019

Does the fact that there's a fight necessarily mean an estate plan failed?

SEC Charges Phony Advisor for Ponzi Scheme Targeting Haitian Community

Nov 07, 2019

The SEC filed a complaint against an unregistered advisor that promised investors returns of 20% every 60 days.

For Some RIAs, $0 Trades May Bring More Pain Than Gain

Nov 07, 2019

Did custodians really factor in how the change would affect advisors?

Schwab’s D.C. Expert: Don’t Overreact to Politics

Nov 07, 2019

The markets tend not to overreact to most turbulent political and social environments, said Michael Townsend, Schwab’s head of legislative and regulatory affairs.