LPL is Boosting FAs’ Value Proposition to Clients. Here’s How
Lending solutions and cash management are part of the strategy.
August 4, 2022
Fastest-Growing RIA Firms: Assets, Clients, Locations
SmartAsset ranked the top 50 fastest-growing registered investment advisor firms in the U.S.
What Does Freedom Mean for Advisors?
Every advisor defines freedom differently, according to Robbie Moseley, Raymod James' head of advisor choice consulting.
Wells Wins Appeal of Finra Arbitration Collusion Ruling
A Georgia appeals court reversed a lower court’s decision that vacated a previous award on the grounds that there was a secret agreement between a lawyer representing Wells Fargo and the arbitration forum.
Finra Proposes Remote Inspections Pilot Program
The self-regulator wants to assess the potential of extending remote inspections of all branch offices in light of the temporary change implemented for the Covid-19 pandemic.
New Senate Bill Aims to Give Crypto Oversight to CFTC
Securities and Exchange Commission chair Gary Gensler, meanwhile, has long pushed for the commission to regulate digital assets.
FAs Weigh In: Estate Plans Aren’t Just for the Rich
“Best practice occurs when the wealth advisor, trust and estate attorney and accountant collaborate in developing a plan for the client,” according to GYL Financial Synergies’ Gerald Goldberg.
Wells Discloses DOJ Probe Into Diverse Hiring Practices
The firm has also disclosed that it’s facing a fraud class-action lawsuit related to the diverse hiring practices.
Mariner Adds Bank, Credit Union Clients of $8.6B Practice
The latest acquisition is Bloomfield Hills, Michigan-based Heber Fuger Wendin Investment Advisors.
Edelman Picks Up $680M RIA Firm in California
The acquisition extends Edelman Financial Engines' presence in the Northwest.