LPL’s OMP Launch Tested The Line Between Advice And Product Revenue
LPL’s 2003 managed-money move showed how broker-dealers can face conflict questions even when a product is not technically proprietary.
Pacific Select’s CEO Exit Put Broker-Dealer Sale Pressure In Plain View
A Pacific Select CEO exit in 2007 showed how leadership instability can pressure broker-dealer networks before a major sale.
The Old State-Regulator Warning That Still Matters For Independent Broker-Dealers
State regulators have long worried independent broker-dealers, and today’s enforcement, CE and client-data issues keep that pressure alive.
The Old Pacific Life Deal That Still Explains LPL’s Acquisition Strategy
LPL’s 2007 Pacific Life broker-dealer deal shows how advisor retention, platform control and transition strategy shaped its growth.
The Advisor Transition Problem Broker-Dealers Still Have Not Solved
Broker-dealers have pushed transition planning for years, but advisor aging, client continuity and succession risk now make it urgent.
LPL’s Commonwealth Retention Target Faces Its First Real Stress Test
A Wolfe Research analyst says LPL still has a credible path to retaining 90% of Commonwealth advisors despite rising attrition.
LPL’s Commonwealth Retention Push Just Hit A Key Checkpoint
LPL says Commonwealth advisors representing nearly 80% of assets have signed on as the firm keeps its 90% retention target.
The 2025 Advisor Recruiting Scoreboard Has Two Clear Winners
LPL and Raymond James led 2025 advisor recruiting gains, while Bank of America, Osaic, Fidelity and UBS posted net advisor losses.
Commonwealth Advisors Become The Prize In A Broker-Dealer Recruiting Fight
Big broker-dealers are pursuing Commonwealth advisors after LPL’s $2.7B deal, turning retention into a major industry fight.
Cetera’s New Recruiting Deal Is Turning Into Advisor Wins
Cetera is gaining advisor teams after a new recruiting deal, with Commonwealth breakaways and Summit Financial playing key roles.
Cetera Is Paying Up As The 2025 Advisor Fight Gets More Expensive
Cetera is using aggressive recruiting deals in 2025 as firms compete for advisors, assets and Commonwealth breakaway teams.
Baird’s $1B Goelzer Team Win Puts Indianapolis Recruiting In Focus
Baird added HWB Partners from Goelzer in Indianapolis, adding a $1B team with wealth, institutional and sports advisory experience.
Osaic Says AI Will Not Replace Advisors - But It May Change Their Hardest Work
Osaic says AI will not replace human advisors, but it could reshape investment research, selection and documentation.
Osaic’s $2B Capital Deal Raises The Stakes For Its Next Growth Phase
Osaic secured more than $2B in new capital as Bain Capital joined investors, giving the wealth platform more room for growth.
Three RIA Leadership Moves Show What Growth Now Requires
Carnegie named Ben Connard CIO, Wilde Wealth added Erica Bloudek as COO and Willis Johnson Wealth appointed Nick Johnson CEO.
A Judge Just Put The Brakes On Advisor Device Searches In The Ameriprise-LPL Fight
A federal judge stopped advisor device searches in the Ameriprise-LPL dispute as the case heads toward FINRA arbitration.
RIA Growth Is Splitting Into Three Different Battles
&Partners added Wells Fargo and Edward Jones practices, while Sanctuary and AmeriFlex expanded through independence and succession moves.
LPL And Raymond James Are Winning Advisors With Two Very Different Pitches
LPL added True Compass Advisors from Kestra, while Raymond James recruited Reece Nichols from Edward Jones in the latest advisor moves.
Category: Wealth Management
Families Are Worried About Education Costs, But 529 Plans Remain A Blind Spot
Edward Jones says many Americans still misunderstand 529 plans as families face pressure over education savings and rising costs.
Osaic’s $1.5B Gateway Move Shows The W-2 Advisor Model Is Gaining Ground
Osaic moved Gateway Investments to its W-2 channel, while Raymond James and RBC added advisor teams from Merrill and UBS.