Vancouver, Washington-based advisors Eric Fenton and Rodney Wangler founded their firm in 2001.
The Patriot Financial Group, based in a suburb of Boston, works with 70 financial advisors who have $2.5 billion in client assets.
David Dobrusin is both a CPA and a certified financial planner.
There are plenty of private equity managers left who could still invest in large branch offices of independent broker-dealers.
The share price of LPL Financial Holdings Inc. increased 27% over the past year, even as the S&P 500 index fell 19.4%.
The nine-member group, which will do business as Fountain Financial Group, had been affiliated with First Horizon Advisors.
Dallas-based Matt Irwin has 24 years of experience, all with Amerprise and a predecessor firm.
When aggregator Wentworth Management Services goes public by merging with a SPAC, Kingswood, sometime in the next few months, industry veteran Roth will serve as chairman.
Using white out and other means, the rep doctored client financial information disclosure forms, according to Finra.
GWG was a 'classic Ponzi scheme,' according to a group representing investors.
Accounting-oriented Strategic Planning Group is based in Fishers, Indiana.
Kansas-based Strategic Partners is affiliating with LPL through National Financial Alliance.
I’m grateful to have led the remarkable team at InvestmentNews as editor-in-chief in 2022, and we have great expectations for 2023.
Despite Dynasty's sales of minority ownership stakes to Schwab and a private equity investor, a public stock offering is still the best long-term strategy for the platform, the CEO says.
One of the big themes in 2022 was how well the broad retail wealth management industry has insulated itself from the downside of the bust part of the cycle.
The pilot, Jeffrey Weiss, had been a financial adviser with Raymond James & Associates in Houston.
An LPL presentation on the return on various types of assets shows the age of advisory assets and fees has arrived in the broad financial advice industry.
Howard Kaplan is affiliating through indie Riegel Financial in Ohio.
The liquidity issue is squarely in the laps of financial advisers who have never had to deal with the difficulties posed by nontraded REITs before.
San Diego-based First Allied had close to 600 brokers and financial advisers under its roof before the Covid-19 pandemic.
