Sentinel Advisory Group Adds Industry Vet as Chief Investment Officer

October 8, 2025

Cetera Adds Ex-Commonwealth Team With More Than $1.1B in AUA

October 7, 2025

FINRA Fines Boston Firm $20K Over Private Placement Filing Lapses

October 6, 2025

Former Florida Broker Pleads Guilty to $7.4M Investor and PPP Fraud Scheme

October 6, 2025

Perigon Acquires N.J.-Based Firms With $1.3 Billion in Client Assets

October 2, 2025

FINRA Fines Velocity Clearing $1 Million for Lapses in Manipulative-Trading Surveillance

October 2, 2025

LPL Financial Adds Ex-RBC Team Serving $1.1B in Assets

September 30, 2025

AmeriFlex Hybrid RIA Adds $354M Ex-Osaic Team

September 29, 2025

LPL Financial Lures $1.3B Team Formerly With Northwestern Mutual

September 25, 2025

Former VALIC Financial Adviser Launches Independent Firm With Osaic OSJ

September 24, 2025

Osaic Adds $379M-Asset Women-Owned ArrowPoint Wealth Advisors

September 23, 2025

Tax-Focused Team With $300M AUM Joins Carson’s Great Lakes Location

September 23, 2025

LPL Reports August Highlights, Onboards $400M Team Previously With Edward Jones

September 21, 2025

Former UBS Team With $1.25 Billion in Assets Joins LPL Strategic Wealth

September 17, 2025

Creative Planning to Acquire Retirement-Focused SageView Advisory Group

September 16, 2025

DOL Sides With Morgan Stanley in Deferred Compensation Conflict

September 14, 2025

Ex-UBS Team With $1.8B in Assets Affiliates With LPL Strategic Wealth

September 9, 2025

Adviser Team With $1.6B Exits UBS for LPL, Citing Compensation Changes

September 4, 2025

Hines Recruits Cantor Fitzgerald Veteran to Oversee Legal and Compliance

September 2, 2025

Ex-Cetera Team With $715M in Assets Joins LPL’s Broker-Dealer

August 28, 2025