LPL Pulls in $400 Million in Assets With New Recruits

Nov 08, 2019

LPL Financial adds advisor Christopher Sweeney and Hege Financial Group after a robust recruitment in the third quarter.

Advisor Group Reportedly in Talks to Buy Ladenburg Thalmann

Nov 01, 2019

Ladenburg is in exclusive talks to make a deal with Reverence's Advisor Group, according to Bloomberg.

Ladenburg Thalmann Is on the Block

Oct 30, 2019

The firm has hired Jefferies to explore options to sell the entire firm, sources say.

Michael Kitces' #FASuccess Podcast: Laura LaTourette on Building a Small-Town LGBTQ Niche

Oct 30, 2019

Laura LaTourette discusses the challenges she faced in building up a LGBTQ niche in her rural Georgia town, as well as figuring out how and when to come out of the closet to her own broker-dealer.

Massachusetts Fines Morgan Stanley for Broker's Churning

Oct 30, 2019

According to Secretary of the Commonwealth William Galvin, the broker made an excessive number of trades in order to boost commission fees while blaming account rebalancing and market performance.

LPL Execs Discuss Trading Fees, Regulatory Shifts on Earnings Call

Oct 25, 2019

CEO Dan Arnold and CFO Matt Audette said the firm will launch its new 'employee' model—initiated by the recent acquisition of Allen & Company—into the wider marketplace for advisors next year.

Integrated Recruits New Firm To Entice Breakaway Brokers

Oct 24, 2019

The partnership with Juncture Wealth Strategies is part of a broader recruitment and transition initiative to attract wirehouse brokers looking to go independent.

Colorado Firm With $200 Million in AUM Joins LPL

Oct 16, 2019

The two financial advisors with I.M. Wealth Care claimed LPL's tech options, including its ClientWorks platform, made it a logical partner.

Breakaway (Discount) Brokers

Oct 14, 2019

Discount brokerage firms are cracking down on their own advisors who have jumped ship for other firms or independence.

HiddenLevers Hits $500 Billion in Platform Assets

Oct 07, 2019

The news comes during a year in which the technology platform provider announced several partnerships and integrations, including with Focus Financial and First Rate.