Business Transitions Articles

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Aequitas Capital Launches New Unit To Invest In RIAs

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The new unit also aims to create a Tiger 21-style network for top RIAs focused on alternative investments.

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7 Things That Send Data That's Monitored

by FA Staff

You may be surprised by some of the things that are now monitored with wireless technology, says IT Brief.

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LPL Adds Freedom Wealth Alliance To Its Platform

by FA Staff

Based in Brookfield, Wis., Freedom Wealth Alliance is a newly launched, independent, hybrid RIA firm that manages $225 million.

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Schwab Loses $15 Million Arbitration Case Against Morgan Stanley

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Schwab lost a $15 million arbitration case against Morgan Stanley, which it accused of improperly recruiting brokers from a Schwab branch who left with confidential trade secrets.

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Jefferson National, COO Lau Part Ways

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David Lau, Jefferson National Financial’s chief operating officer, has vacated the post after nine years with the company, company officials confirmed today.

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Dr. Robert Johnson To Lead The American College

by FA Staff

The American College of Financial Services has named Robert R. Johnson, Ph.D., as president and chief executive officer beginning October 1.

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LPL Adds Financial Advocacy Network To Its Platform

by FA Staff

The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.

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Pamela Sandy Named FPA President-Elect

by FA Staff

The FPA today announced that Pamela Sandy has been elected as its president-elect for 2015.

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Pimco Bolsters Equities Staff, Names Tuttle As Trading Head

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Pimco, Bill Gross’s bond firm that’s expanding into stocks, named Melissa Tuttle as global head of equity trading and added staff in its latest effort to bolster the business.

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Triad Advisors Introduces New Platform

by FA Staff

Triad Advisors has a new platform to assist fee- and commission-based independent financial advisors with regulatory and compliance issues.

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