Updated Wednesday, July 29, 2015 as of 12:56 AM ET

LPL Made 1,500 Tech Changes in Past Year--And Isn't Done Yet

Strategic Shift for LPL: Robo Program Plus Price Cuts

Million-Dollar Advisor Goes Independent With Raymond James

Ameriprise Advisor Productivity Reaches New High

Raymond James Advisor Force Reaches Record Size

Email Hack Costs Cetera Advisor His Career

LPL & Breakaway Firm Reel in 2 J.P. Morgan Bank Advisors

Waddell & Reed Lands 8 Advisors

Industry Groups Urge SEC for Advisor Disclosure Amid BrokerCheck Shortfalls

LPL to Pay $250K State Fine Over 'Bogus' Senior Designations

Competitors Team Up: LPL Adds Large RIA Ronald Blue as Client

$120M Merrill Team Goes Indy

FINRA Candidate Says He'd Represent Firms, Not Investors

Deutsche Loses $3.25B Team to Dynasty

Long-time LPL Team Defects to Commonwealth

Bring in New Assets With Sustainable Investing

How Behavior Shapes Retirement Planning

Is Your Firm Ready for a Regulatory Exam?

Client Wins $1.2M Arbitration Case Against Advisor & Firm

SEC Zeros In on Retirement Advisors Amid 'Staggering' Fraud

Barred Advisors 'Threw Away' Careers Over Insider Trading

How Digital Do You Want to Be?

Advisor Talent Crisis Lingers

Billion-Dollar Roundup: Biggest Advisor Moves This Year

United Capital Buys Advisory Division of StanCorp Financial

Bank Mutual Picks LPL as Third-Party Marketer

Advisors Beware: What Regulators Are Watching For

Janney Lands $900K Producer From JHS Capital

Gold Stash in Broker's Basement? Bought With Client's Money, FBI Says

Is Costly New FINRA Ad Campaign Misleading?

$250M Team Joins LPL Hybrid RIA

LPL Financial Taps E*Trade Exec as CFO

FP50: New Ways to Get Huge

IBD Watch: Where the Action Is

FINRA Banishes Former Wells Fargo Advisor

FINRA Chief Pans DoL Fiduciary Proposal

Hybrid RIA Bolts LPL for Triad

Advisors on the Move: Merrill Nabs $3B Group

Bank Reunion: LPL Snags 3 More Capital One Advisors

Securities America Recruits $115M Advisor

Commonwealth Lures Firm With $108M AUM

Exclusive: Why LPL Treasurer Jumped Ship

Independent No More: Why These Advisors Switched

RIA Deal a Win for LPL Super-OSJ

Advisors on the Move: Wells Fargo Nabs $650M Team

Merrill Lynch Advisors With $165M AUM Join Steward Partners

Crash Course on Compliance

Cetera Shines, But RCS Disappoints in Q1 Earnings

Envestnet Pays $30M for Advisor Software Developer

$350M Team Jumps to Raymond James Independent Side

$130M BKD Advisor Joins Relatives at RJFS Firm

Regulatory Bills Dent LPL Profits Again

Warren Targets Cruises and iPads in Probe of Brokers' Perks

Why Advisors Like These Fund Managers' Sites Best

Ameriprise Buying Smaller IBD With Checkered Past

Veres: Here's What Top Firms Are Doing Right

CFP Board Takes Action Against 23 Advisors

When Teams Split, Who Gets the Clients?

Execs See Fiduciary Proposal as Complicated, Costly

Profits Slip at Raymond James Unit

Advisor Productivity Rises at Ameriprise

Raymond James Betting Humans Will Trump Robos

Ex-Cetera Owner to Take Majority Stake in Big LPL Practice

$244M Team Jumps From Morgan to Wells

Schorsch Accused of Fee-Driven Scheme in Investor Lawsuit

Advisor Owes Merrill $1M Clawback

Raymond James Draws $1.3M Wells Fargo Team

Advisors on the Move: Morgan Stanley Loses $750M Team

SEC Panel Calls for Universal Background Check Database

Will Robo Advisors Complement or Cannibalize Your Business?

Tech Review: Upgrade for Grendel

Employee or Independent Channel? Give Clients What They Want

New Hampshire Regulators Latest to Pursue LPL Over Nontraded REITs

Ameriprise Recruits Advisors With Combined $261M AUM

How Should Advisors Be Charging Now?

Ex-LPL Advisor Borrowed $2.2M From Clients for Hawaii Dream House

Catering to Biz Owners, Sterling National Partners With Ameriprise

Time to Ramp Up Digital Tools a la Northwestern Mutual

Northwestern Mutual Scoops Up LearnVest

Royal Alliance Snaps Up IBD With $600 Million AUM

Raymond James Recruits $250M Morgan Stanley Pair

$250M Morgan Stanley Team Jumps to Steward Partners

Quiz: How Honest Are You?

Here's What LPL's CEO Made in 2014 -- and Why He Got a Pay Cut

Ameriprise Advisor Dodges $250K Merrill Clawback

Ameriprise Reassigns Management Roles as Froude Steps Down

What Really Led to LPL Exec's Exit

Ex-Advisor Racks Up $16M in Client Complaints

RCS Exec Swipes at Schwab Robo Offering

Can IBD Advisors Be Fiduciaries?

Brokers Beware: New SEC Sweep to Zero-in on Retirement Practices

HD Vest Settles SEC 'Supervisory Failures' Charges

Advisors on the Move: Merrill Grabs $1.2B Team

How to Make a Great Impression

Are You Doing Enough for Women Advisors (and Clients)?

LPL Names Arnold New President; Moore Departs

Raymond James Recruits $150M LPL Team

LPL, Commonwealth Advisors Leave Independence for Raymond James

What Fidelity Reorg Means for RIAs

With Profits Up, Stifel's Latest Acquisition Yields Opportunity, Complexity

Despite Advisory Gains, RCS Losses Widen

What the $150M Stifel-Sterne Agee Deal Means for the Industry

Stifel-Sterne Agee Union: The Next Raymond James?

Ex-American Realty Exec Drops Whistleblower Lawsuit

Regulatory Woes Ease for LPL

D.A. Davidson Advisor Joins IBD

$120M UBS Advisor Duo Joins Aegis

Raymond James Nabs $900K Producer From Edward Jones

Ex-SEC Chief: White House Memo on Broker-Dealers 'Shocking'

SEC Wants to Add 225 Examiners Through 2016 Budget

Hands-On Approach for Ex-Tiburon Principal's New Firm

Fidelity Acquires eMoney Advisor

Advisors on the Move: $700M Team Moves to Wells Fargo

HighTower Grabs $225M Wirehouse Advisor

Girard Securities' CEO Calls Large SEC Exam 'Routine'

Auditor of REITs in Schorsch's American Realty Capital Resigns

Ameriprise Profits Soar, But Advisor Headcount Drops

Can IBDs Hang On to Independent Advisors?

Profits Slip at Raymond James

Veteran Advisor With $100M AUM Jumps to Lebenthal

BNY Veteran Launches RIA, Taps Raymond James as Custodian

Does Independence Have a Price?

Independent Assets Expected to Surpass Wirehouses in 2019

4 Advisors Leave U.S. Bank for Ameriprise

Schorsch's Exit Leaves Major Questions for RCS Advisors

Schorsch Quits Board of RCS Capital

Schorsch Tied to ARCP Accounting Scandal in Lawsuit

FINRA Fines Wells Fargo Advisor Units $1.5M

'Steady Flow of Negative News' Takes Toll on Schorsch

Schorsch, 2 Execs Resign From His REIT Company

Biggest Breakaways of 2014

SEC Orders 3 Ex-LPL Employees to Pay More Than $1.5M

Washington Wealth Snares 2 More RBC Advisors

Battle Lines Drawn in FINRA's CARDS Proposal

Tech Survey 2014: What's New Now?

Ex-LPL Rep Suspended 18 Months & Must Pay $243K, FINRA Says

Point72 Took RCS Capital Stake as Regulatory Inquires Disclosed

Veres: Give Up the 'Fiduciary' Fight

Advisors on the Move: Mega Team Leaves J.P. Morgan for Wells Fargo

RCS Receives Regulatory Inquiries After ARCP Accounting Errors

Retail Advice a Bright Spot as RCS Earnings Disappoint

Former NYTimes CEO Joins Board of Steward Partners

Overlooked Talent Pool? Senior Advisors

Schorsch Plays Defense at Schwab Amid Turmoil in His Empire

LPL Boots Products From Schorsch Empire

Former Wirehouse Manager and 2 Independent Advisors Join Lebenthal

Ameriprise Recruits LPL Advisor With $165M in AUM

IMCA's "Success" Driven by More Members With More Assets

Banner Year for Profits at Raymond James Financial

Wealth Management Profits Up 35% at Ameriprise

The June Issue is now online!


Industry Events

November 3, 2015 | The Broadmoor Hotel in Colorado Springs, Colorado

November 4, 2015 | New York Hilton Midtown, New York, NY

November 12, 2015 | Salt Lake City, Utah

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