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The rep defrauded clients with promises of a “lucrative investment” tied to the popstar that would also “help needy people,” according to regulators.July 8
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LPL has reeled in about half of the reps changing their BDs so far this year, but the full RIA channel is also reaping big gains. Plus, other news in the indie space.June 24
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Independent advisors may enjoy freedom of choice when it comes to all things digital, but giant institutions have a leg up with integration.June 12
Technology EditorFinancial Planning
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More than 300 reps have switched BDs so far this year, with LPL and Cambridge Investment Research completing the two largest grabs.May 27
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LPL advisor Kashif Ahmed tweeted his condition from the emergency room then focused on recovering, knowing his firm could run without him.May 27
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A former craft brewer and an ex-rugby star went indie with Gladstone Financial Resources Group.May 26
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The lost assets represent a big hit to the firm’s operations in the small Missouri town where the advisor was based, ex-employer claims.May 6
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A lull due to the coronavirus appears to be over, according to the No. 1 IBD’s top recruiter. The firm is still competing against a slew of rivals for ex-wirehouse reps.April 22
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The firms have grabbed some three-fourths of the announced incoming advisors, as the pandemic cuts into valuations and casts uncertainty.April 20
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Ratings agencies predict major losses for all of the largest BDs, prompting firms to reassess strategies in uncertain times.March 30
