Here are the breakaways, mergers and acquisitions announced the week of January 4, 2021.
Thrivent Advisor Network is now a member of the protocol, which allows departing advisors to take certain customer information and solicit customers regardless of whether they had agreements that expressly prohibited such conduct.
RIA support platform Integrated Advisors Network has acquired consultants ReDefine Independent Advisors in an effort to build out a more dedicated offering for breakaway wirehouse advisors.
The lapses in record retention, fingerprinting and failing to oversee the drafting of consolidated reports led to 1.5 million costumer communications being deleted and a former rep running a Ponzi scheme, FINRA claimed.
Financial advisors proved their tenacity and resilience in 2020, and through this resolve, a new evolution is emerging. It’s good news for advisors.
Andrew Stotler details his journey from Edward Jones' anti-money laundering review division to starting his own business by knocking on doors to get clients.
Flaharty Asset Management has merged with AWA Investment Advisors on its way to becoming a $1 billion firm.
Riskalyze CEO Aaron Klein provides his take on the biggest news to hit advisor technology in the previous month.
The new firm Homestead Wealth Management will be based out of Glendale, Ariz. The two advisors have about $150 million in advisory and brokerage assets under management.
Previously listed on the IBD's preferred vendor list, RightCapital now joins other planning tools available through the LPL platform.
