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Alan Moore Michael Kitces XYPN Live

XYPN Advisor Network Files Lawsuit Against SEC to Stop Reg BI XYPN Advisor Network Files Lawsuit Against SEC to Stop Reg BI

The network, founded and led by Michael Kitces and Alan Moore, filed suit in New York's Southern District, claiming the SEC's Reg BI would give an unfair competitive advantage to brokers over registered investment advisors.

byPatrick Donachie, Samuel Steinberger

Sep 10, 2019

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1 Min Read

FSI-SEC-conference.jpeg

SEC Counsel Urges Brokers to Prepare for Reg BI Compliance Date SEC Counsel Urges Brokers to Prepare for Reg BI Compliance Date

byPatrick Donachie

Sep 10, 2019

1 Min Read

HD Vest, 1st Global Brands to Die as Blucora Combines the B/Ds HD Vest, 1st Global Brands to Die as Blucora Combines the B/Ds

byDiana Britton

Sep 9, 2019

1 Min Read

Virginia Firm With $150 Million in AUM Joins LPL Financial

Virginia Firm With $150 Million in AUM Joins LPL Financial Virginia Firm With $150 Million in AUM Joins LPL Financial

byPatrick Donachie

Sep 9, 2019

1 Min Read

Raymond James Financial

Raymond James Recruits $2.3 Million Producers from Morgan Stanley Raymond James Recruits $2.3 Million Producers from Morgan Stanley

byDiana Britton

Aug 23, 2019

1 Min Read

Infinex-Lobby_Meriden_1025.jpg

Infinex Adds Three Bank Programs From B/D Sold to Cambridge Infinex Adds Three Bank Programs From B/D Sold to Cambridge

byDiana Britton

Aug 21, 2019

1 Min Read

Atlanta Broker Alerts FBI Over Big Loss on `Unauthorized' Trades

Atlanta Broker Alerts FBI Over Big Loss on `Unauthorized' Trades

The Wirehouse Retention Measure That’s Backfiring

The Wirehouse Retention Measure That’s Backfiring

byMindy Diamond, Columnist: Career Moves

Small Producers at Advisor Group Won't Get Retention Bonuses

Small Producers at Advisor Group Won't Get Retention Bonuses

byDiana Britton, Managing Editor

DEA Agents

Small Producers Are Crazy, Large Producers Are Eccentric

Small Producers Are Crazy, Large Producers Are Eccentric

US SEC building in Washington, D.C., 2008

SEC Charges Unregistered Broker for Selling Woodbridge Securities

SEC Charges Unregistered Broker for Selling Woodbridge Securities

byPatrick Donachie, Senior Reporter

Charles Schwab office

Schwab in Talks to Buy USAA Wealth, Brokerage Units, WSJ Reports

Schwab in Talks to Buy USAA Wealth, Brokerage Units, WSJ Reports

Cetera

Summit to Shut Brokerage, Convert to Cetera OSJ

Summit to Shut Brokerage, Convert to Cetera OSJ

byDiana Britton, Managing Editor

2012 AUM 2976 billion 2011 AUM 2596 billionAUM per Advisor 266 million

LPL Financial Recruits Advisors With $110 Million in AUM

LPL Financial Recruits Advisors With $110 Million in AUM

byPatrick Donachie, Senior Reporter

Amit Dogra

Sanctuary Bolsters Management Team to Recruit More Breakaways

Sanctuary Bolsters Management Team to Recruit More Breakaways

byMichael Thrasher, Staff Writer

Industry News & Trends

The 25 Most Expensive Office Markets

The 25 Most Expensive Office Markets

The Top Flex Office Space Markets

The Top Flex Office Space Markets

Jay Clayton

Wall Street Sees a Win in SEC Crackdown on Broker Conflicts

Wall Street Sees a Win in SEC Crackdown on Broker Conflicts

Independent Financial Partners office

IFP’s New Broker/Dealer Goes Live

IFP’s New Broker/Dealer Goes Live

byDiana Britton, Managing Editor

Raymond James had 3212 advisors last year up by only 19 from 2011

Wells Fargo Loses $600 Million Team to Raymond James

Wells Fargo Loses $600 Million Team to Raymond James

byPatrick Donachie, Senior Reporter

Sponsored Content

Collaborative Referral Network Helps to Drive Growth for C21 Commercial Affiliated Agents

Collaborative Referral Network Helps to Drive Growth for C21 Commercial Affiliated Agents

hightower advisors

HighTower Leaves Protocol Agreement

HighTower Leaves Protocol Agreement

byMichael Thrasher, Staff Writer

SA Stone Recruits $200 Million Cetera Team

SA Stone Recruits $200 Million Cetera Team

byDiana Britton, Managing Editor

LPL Super OSJ IFP Will Now Be Known as Integrated

LPL Super OSJ IFP Will Now Be Known as Integrated

byDiana Britton, Managing Editor

Independence Roundtable

'Captive Independence' Falls Short of True Independence, Execs Say

'Captive Independence' Falls Short of True Independence, Execs Say

byMichael Thrasher, Staff Writer

wells fargo new york

Widow Seeks $2 Million From Wells Fargo FiNet Broker

Widow Seeks $2 Million From Wells Fargo FiNet Broker

byPatrick Donachie, Senior Reporter

Morgan Stanley

Morgan Stanley's Brokers, Traders Counter Dealmaking Decline

Morgan Stanley's Brokers, Traders Counter Dealmaking Decline

SNL samurai stockbroker

The Nine Best 'SNL' Parodies of Brokers and Financial Firms

The Nine Best 'SNL' Parodies of Brokers and Financial Firms

byDiana Britton, Managing Editor

colliers emerging industrial markets

10 Industrial Markets to Watch

10 Industrial Markets to Watch

finance money

Infinex Wins a Bank Program But Loses Several to LPL

Infinex Wins a Bank Program But Loses Several to LPL

byDiana Britton, Managing Editor

MBA

Estate Planning

10 Takeaways from the MBA CREF/Multifamily Housing Convention & Expo 2019, Day Two

10 Takeaways from the MBA CREF/Multifamily Housing Convention & Expo 2019, Day Two

byElaine Misonzhnik, Senior Editor, Investments

Independent Financial Partners office

FINRA Gives IFP the OK to Launch Broker/Dealer

FINRA Gives IFP the OK to Launch Broker/Dealer

byDiana Britton, Managing Editor

LPL Financial

LPL to Create a New Fee-Only Offering

LPL to Create a New Fee-Only Offering

byDiana Britton, Managing Editor

Atlanta city

More Top Brokers Join Rockefeller in Atlanta

More Top Brokers Join Rockefeller in Atlanta

byMichael Thrasher, Staff Writer

Advisor Returns to LPL After Less Than a Year With Another IBD

Advisor Returns to LPL After Less Than a Year With Another IBD

byDiana Britton, Managing Editor