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Industry News & Trends
LPL Financial Recruits $200M Team From Northwestern MutualLPL Financial Recruits $200M Team From Northwestern Mutual

San Diego-based advisors Scott Dudley and David McQuade align with Financial Advocates, one of LPL Financial’s largest offices of supervisory jurisdiction.

byDiana Britton, Managing Editor
Aug 6, 2020
|
1 Min Read
Jamie Hopkins
Wealth Planning
Carson Group Donates $500,000 to Support Black Financial PlannersCarson Group Donates $500,000 to Support Black Financial Planners
byDiana Britton
Aug 6, 2020
1 Min Read
Charles Schwab office
WealthTech
Schwab to Retain, Integrate thinkorswim, thinkpipesSchwab to Retain, Integrate thinkorswim, thinkpipes
byDavis Janowski
Aug 5, 2020
1 Min Read
mercer-advisors
RIA
Mercer Global Advisors Acquires $130M Summit Wealth AdvisorsMercer Global Advisors Acquires $130M Summit Wealth Advisors
byDiana Britton
Aug 5, 2020
1 Min Read
CI Financial
RIA
Canada’s CI Financial Acquires $4.5B RIA Balasa Dinverno FoltzCanada’s CI Financial Acquires $4.5B RIA Balasa Dinverno Foltz
byDiana Britton
Aug 5, 2020
2 Min Read
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Digital Assets
Reality Shares Launches Crypto Investment AppReality Shares Launches Crypto Investment App
byDiana Britton
Aug 4, 2020
1 Min Read

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Retirement
Schwab: 401(k) Plan Participants Now Need to Save $1.9 Million to Retire
Schwab: 401(k) Plan Participants Now Need to Save $1.9 Million to Retire
Aug 4, 2020
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WealthTech
Wealthfront Gamifies Bills to Draw Cash Account Users
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Aug 3, 2020
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Investment
Washington-Based Cashman Consulting Moves to LPL From Kestra
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Aug 3, 2020
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byDiana Britton, Managing Editor
Raymond James Financial
Industry News & Trends
Pathstone to Acquire Cornerstone Advisors to Form $20B RIA
Pathstone to Acquire Cornerstone Advisors to Form $20B RIA
Jul 31, 2020
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1 Min Read
byAsia Martin, Reporter
focus financial
RIA
Founder of Focus Partner Firm Lake Street to Retire
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Jul 31, 2020
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byDiana Britton, Managing Editor
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WealthTech
Varo Money Is First Startup to Land National Bank Charter From OCC
Varo Money Is First Startup to Land National Bank Charter From OCC
Jul 31, 2020
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2 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
retirement-saving-piggy-bank
Retirement
Guideline, Small Business Retirement Plan Provider Announces $85 Million Series D
Guideline, Small Business Retirement Plan Provider Announces $85 Million Series D
Jul 30, 2020
|
1 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
HighTower Advisors CEO Bob Oros
RIA
Hightower Buys Stake in $1.5B RIA Private Vista
Hightower Buys Stake in $1.5B RIA Private Vista
Jul 30, 2020
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1 Min Read
byDiana Britton, Managing Editor
LPL Financial
Wirehouse
LPL Financial Adds $20B M&T Bank to Brokerage, Advisory Platform
LPL Financial Adds $20B M&T Bank to Brokerage, Advisory Platform
Jul 29, 2020
|
1 Min Read
byDiana Britton, Managing Editor
US SEC building in Washington, D.C., 2008
Regulation & Compliance
SEC Announces Roundtable for Form CRS Issues
SEC Announces Roundtable for Form CRS Issues
Jul 28, 2020
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2 Min Read
byPatrick Donachie, Senior Reporter
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RIA
Dynasty Partner Firm Procyon Recruits $2 Billion UBS Advisor
Dynasty Partner Firm Procyon Recruits $2 Billion UBS Advisor
Jul 28, 2020
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byDiana Britton, Managing Editor
Fi360 Offers Remote Proctoring for Certification Exams
Career Moves
Fi360 Offers Remote Proctoring for Certification Exams
Fi360 Offers Remote Proctoring for Certification Exams
Jul 28, 2020
|
1 Min Read
byDiana Britton, Managing Editor
LPL Financial
Industry News & Trends
Former Wells Fargo Broker Keith Boyd Joins LPL's Hybrid RIA Platform
Former Wells Fargo Broker Keith Boyd Joins LPL's Hybrid RIA Platform
Jul 27, 2020
|
1 Min Read
byErick Bergquist
SEC Seal
Regulation & Compliance
SEC: Michigan Advisor Fooled Clients With Fictitious Investment
SEC: Michigan Advisor Fooled Clients With Fictitious Investment
Jul 27, 2020
|
2 Min Read
byPatrick Donachie, Senior Reporter
Raymond James had 3212 advisors last year up by only 19 from 2011
Industry News & Trends
Miami Advisory Team Joins Raymond James' Alex. Brown From UBS
Miami Advisory Team Joins Raymond James' Alex. Brown From UBS
Jul 24, 2020
|
1 Min Read
byPatrick Donachie, Senior Reporter
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WealthTech
Amazon Begins Selling Insurance
Amazon Begins Selling Insurance
Jul 24, 2020
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bySamuel Steinberger, Senior Technology Editor
digital dollar sign
WealthTech
Timelineapp Announces $2 Million in Funding
Timelineapp Announces $2 Million in Funding
Jul 23, 2020
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bySamuel Steinberger, Senior Technology Editor
LPL Financial
Financial Planning
LPL Attracts Cornerstone Financial Planning From Advisor Group
LPL Attracts Cornerstone Financial Planning From Advisor Group
Jul 23, 2020
|
2 Min Read
byPatrick Donachie, Senior Reporter
UBS Arena Belmont
Marketing
UBS Secures Naming Rights to New York Islanders' New Arena
UBS Secures Naming Rights to New York Islanders' New Arena
Jul 22, 2020
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1 Min Read
byErick Bergquist
Kestra Financial President Stephen Langlois
RIA
Kestra Financial Names Stephen Langlois President
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Jul 21, 2020
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byPatrick Donachie, Senior Reporter
computer technology finance
RIA
Structured Products Platform Luma Hires New Marketing Head
Structured Products Platform Luma Hires New Marketing Head
Jul 21, 2020
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
Pershing office
RIA
Pershing Hires Emily Schlosser as Jim Crowley's Replacement as COO
Pershing Hires Emily Schlosser as Jim Crowley's Replacement as COO
Jul 20, 2020
|
1 Min Read
byAsia Martin, Reporter
tyrone-ross-video.png
RIA
Advisor Tyrone Ross Develops 'Learn to Money' Video Series
Advisor Tyrone Ross Develops 'Learn to Money' Video Series
Jul 20, 2020
|
2 Min Read
byDiana Britton, Managing Editor
larry-durso-shorehaven.jpg
Industry News & Trends
Father-Son Team Departs Morgan Stanley to Form ShoreHaven Wealth Partners
Father-Son Team Departs Morgan Stanley to Form ShoreHaven Wealth Partners
Jul 20, 2020
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1 Min Read
byDiana Britton, Managing Editor
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Industry News & Trends
Elk River Expands Into Omaha With $230 Million Advisory Team
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Jul 17, 2020
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2 Min Read
byPatrick Donachie, Senior Reporter
SEC seal
RIA
SEC Charges Head of Former RIA With Running Ponzi Scheme
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Jul 17, 2020
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CFP Board office.
Industry News & Trends
CFP Board Adds a Remote Option for Upcoming Exams
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Jul 16, 2020
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byDiana Britton, Managing Editor
Matt Meyers Sr. and Matthew Meyers Jr.
RIA
LPL Recruits $300 Million Austin-Based Team From Voya
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Jul 15, 2020
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1 Min Read
byDiana Britton, Managing Editor
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ETFs
American Century First to Launch Semi-Transparent Active ETFs With NYSE’s Structure
American Century First to Launch Semi-Transparent Active ETFs With NYSE’s Structure
Jul 15, 2020
|
1 Min Read
byDiana Britton, Managing Editor
FINRA
Regulation & Compliance
FINRA’s Series 7 Testing Goes Virtual
FINRA’s Series 7 Testing Goes Virtual
Jul 15, 2020
|
1 Min Read
byDiana Britton, Managing Editor

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