Articles about registered investment advisor


LPL Sweetens Deal for Advisors Joining its Hybrid RIA... But There's a Cost

Last updated: 12/12/2018

Advisors who want to join LPL Financial’s hybrid RIA will no longer face a minimum asset requirement. But anyone bringing less than $25 million will have to pay up, according to

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RIA Compliance Insights from the 2018 NASAA Enforcement Report

Last updated: 12/12/2018

On October 10, 2018, theNorth American Securities Administrators Association ("NASAA")released its 2018 enforcement report which summarizes securities industry enforcement actions

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Guess who's moving into the RIA neighborhood? State Farm orders 15,000 insurance brokers to get financial planning credentials by next year

Last updated: 12/11/2018

Toggle navigation Guess who's moving into the RIA neighborhood? State Farm orders 15,000 insurance brokers to get financial planning credentials by next year Search News, Vision &

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Kitces-Led Platform Bets on Regulatory Uncertainty for Fee-Only Advisors

Last updated: 12/09/2018

When Michael Kitces discusses the growth potential for advisors who charge solely for financial planning but don’t manage substantial assets, you have to wonder what professional

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LPL Drops Asset Minimum for New Reps, But ... | ThinkAdvisor

Last updated: 12/09/2018

As it prepares to announce its third-quarter earnings results, LPL Financial has removed a hurdle for advisors seeking to join a hybrid registered investment advisory group. On Mo

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AdvisorEngine’ s Impressive Coming Out Party

Last updated: 12/06/2018

I recently attended the first ever AdvisorEngine Conference, and I was impressed. This event presented several challenges for the AdvisorEngine management, and to my mind they exce

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TD Ameritrade Institutional Model Market Center Receives Award for Model Marketplaces

Last updated: 12/05/2018

Wealth Management magazine, a leading news publication covering the financial advisor industry, has bestowed a 2018 Wealth Management Industry Award on TD Ameritrade’s Model Mark

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Why Hybrid RIAs Are Enjoying Stellar Growth | ThinkAdvisor

Last updated: 12/04/2018

Once upon a time, brokers seeking independence left their brokerage firm employers but detoured to a hybrid/dually registered business model before moving on to becoming fully inde

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Vestmark to Acquire Adhesion Wealth Advisor Solutions

Last updated: 12/01/2018

Vestmark, a provider of portfolio management and trading solutions for financial advisors and institutions, announced the acquisition of Charlotte-based Adhesion Wealth Advisor Sol

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How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox - Diamond Consultants: Financial Advisor Recruiting Firm Financial Advisor Recruiters

Last updated: 12/01/2018

Podcast Independence for Financial Advisors How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox Oct 18, 2018 | Posted by Mindy Diamond |

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