Financial Advisor Blog - Page 96 - Financial Advisor Transitions

Advisor Group Receives B- Rating from Fitch Ratings

June 7th, 2022

After Advisor Group announced its plan to acquire a large bank-focused broker-dealer, Fitch Ratings affirmed a rating of debt at B-.

Independent Broker-Dealers With the Most Female Registered Reps

June 6th, 2022

According to a study by Cerulli Associates, only 18.1 percent of financial advisors are women. Listed below are the independent broker-dealers outp...

Merrill Lynch Plans to Transition to 100% Team-Based Practices by 2030

June 3rd, 2022

Merrill Lynch has set a goal to have 100 percent of its advisors assigned to teams by the end of the decade. The firm plans to do this without any ...

LPL Financial Gains $11 Billion of CUNA's Brokerage Assets

June 3rd, 2022

Approximately $11 billion of CUNA Brokerage Services' client assets have moved onto LPL's Institution Services platform. LPL shared that the firm e...

10 IBDs Who Employ The Most CFPs

June 1st, 2022

At the close of 2021, there were approximately 92,055 certified financial planners (CFPs) in the United States. Here is a list of the large indepen...

First Republic Agrees to Pay $1.8 Million Over Revenue Sharing Violations

May 31st, 2022

First Republic's RIA agreed to a censure and will pay more than $1.8 million to the Securities and Exchange Commission (SEC). The SEC alleges that ...

Fundraising For Non-Traded Alternative Investments Total $43 Billion

May 26th, 2022

Non-traded alternative investments have raised $43 Billion year-to-date through April 2022. That represents a 131 percent increase over the same pe...

Advisor Transitions Off to A Slow Start

May 25th, 2022

The total number of transitions of advisors between firms in the first quarter was down 4 percent from the previous three months, according to Inve...

Client Personality Types and Advisor Categories

May 24th, 2022

Clinical psychologist and performance coach Alden Cass, helps advisors target and work with clients based on what he has determined to be 10 invest...

FINRA Proposes Deadline For Flexible WFH Rules

May 23rd, 2022

The Financial Industry Regulatory Authority (FINRA) has announced potential rule changes, which would allow firms and their advisors more flexibili...