Why compliance experts embrace NASAA marketing rule

Various compliance consultants think advisors and clients alike would benefit if state regulators were playing from…

How EBITDA multiples are misleading RIA sellers in wealth

Marc Schechter says it was right about the time the RIA he ran hit $1 billion…

LPL CEO not surprised by Commonwealth departures

Just a day before his firm’s completed purchase of Commonwealth Financial Network, LPL CEO Rich Steinmeier…

Commonwealth recruits big team ahead of LPL purchase

Commonwealth Financial Network’s looming acquisition by LPL Financial isn’t halting its recruiting engines, as evidenced this…

Simon Quick Advisors stays free of PE with latest deal

Chris Moore of Simon Quick Advisors doesn’t think there’s necessarily anything wrong with accepting private equity…

LPL Financial drops suit accusing Ameprise of defamation

LPL Financial is dropping a defamation suit it filed nearly two months ago against Ameriprise over…

The perks and pitfalls of Raymond James’ equity offers

Raymond James is offering its independent advisors a deal: If they need cash to invest in…