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Three Wells Fargo reps managing $240 million go indie with Raymond James
NEWS RIAS APR 10, 2019
Three Wells Fargo reps managing $240 million go indie with Raymond James

Team of three sets up shop in Corpus Christi, Texas, as Coastal Bend Wealth Partners.

Cetera to acquire assets of Foresters Financial's U.S. advisory business
NEWS INDUSTRY NEWS APR 09, 2019
Cetera to acquire assets of Foresters Financial's U.S. advisory business

Some 500 affiliates of the brokerage/investment advisory business could join Cetera.

Finra bars former LPL broker over possible loans from clients
NEWS REGULATION AND LEGISLATION APR 08, 2019
Finra bars former LPL broker over possible loans from clients

James Bylenga declined to take part in an inquiry into his conduct.

A disruptive force no one is talking about ...
YOUR PRACTICE FINTECH APR 08, 2019
A disruptive force no one is talking about ...

These are the business concerns that advisers should be planning for now

Stifel adds wirehouse teams managing $1.1 billion in assets
NEWS INDUSTRY NEWS APR 05, 2019
Stifel adds wirehouse teams managing $1.1 billion in assets

Nine reps, from Merrill Lynch, Raymond James and Wells Fargo, join firm.

Finra fines former LPL rep $5,000 over viatical sale
RETIREMENT LIFE INSURANCE AND ANNUITIES APR 05, 2019
Finra fines former LPL rep $5,000 over viatical sale

LPL terminated Scott Klor in 2017 for violating firm policies.

'Advice' is changing due to client awareness of fees
YOUR PRACTICE PRACTICE MANAGEMENT APR 04, 2019
'Advice' is changing due to client awareness of fees

Cerulli study says advisers have to pay attention to other aspects of client engagement.

F.L. Putnam acquires Financial Focus and $275 million in AUM
NEWS INDUSTRY NEWS APR 03, 2019
F.L. Putnam acquires Financial Focus and $275 million in AUM

Acquisition adds presence in Wolfeboro, N.H., to firm's New England footprint.

United Capital adds $800 million in AUM through two acquisitions
NEWS INDUSTRY NEWS APR 02, 2019
United Capital adds $800 million in AUM through two acquisitions

Irongate International of Moline, Ill., and Atlanta's Peachtree Investment Advisors join firm.

Captrust acquires $13 billion in AUA through FiduciaryVest spin out
NEWS INDUSTRY NEWS APR 02, 2019
Captrust acquires $13 billion in AUA through FiduciaryVest spin out

Co-founder Philly Jones and team leave; remaining partner continues as FiduciaryVest