Charles Schwab is growing its brick-and-mortar presence to provide wealth services to retail clients. The financial services and custodial giant said Wednesday it has already opened a handful of what ...
Creative Planning, the Overland Park, Kan.-based registered investment advisor with more than $370 billion in assets under management and advisement, has agreed to acquire SageView Advisory Group, a ...
A South Carolina-based team managing about $1.25 billion in client assets is joining independent broker/dealer LPL Financial from UBS. According to LPL, Jeffrey Allen, Steve Armaly, Brian Blackburn ...
Wells Fargo continues its push to bring advisors to its independent contractor channel with an 11-person advisor team based in Indianapolis that has broken away from Ameriprise. Managing partners ...
Marshberry, an Ohio-based M&A consultancy active in the insurance and wealth management sectors, is slated to become part of investment bank and advisory Lincoln International. Chicago-based Lincoln ...
The U.S. Department of Labor has sided with Morgan Stanley and several FINRA arbitration decisions in a dispute over whether its deferred compensation program should be treated like a pension or a ...
Raymond James has filed a lawsuit against the husband of an advisor, who passed away suddenly in March, for refusing to return her company laptop and sending letters to clients soliciting them on ...
Hybrid digital wealth management provider Facet Wealth announced it has secured $33 million in funding, in a Series A round led by private equity firm Warburg Pincus. Joining the PE firm is Slow ...
Long Beach, Calif.-based RIA firm Halbert Hargrove has existed since the Great Depression and has seen every kind of market cycle since its founding in 1933. Its focus, according to co-CIO Brian ...
LPL and Ameriprise announced advisor shifts alongside one of several lawsuits being filed alleging misconduct by departing advisors. On Wednesday, LPL Financial announced that two former Ameriprise ...
Concurrent Investment Advisors, a hybrid registered investment advisor with a 1099 affiliation model, has made a minority investment in a Longboat Key, Fla.-based asset manager. Concurrent, which is ...
Several years ago, industry observers predicted that direct indexing would be the next wave of innovation to upturn the asset management industry, equal to the revolution of exchange traded funds and ...
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