Business Transitions

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Fidelity Investments Aligns Clearing And Custody Units

by FA Staff

Boston-based Fidelity Institutional has combined its clearing and custody businesses into one unit.

Mosaic Family Wealth Joins Dynasty Financial Partners

by FA Staff

The newly launched independent wealth management and investment advisory firm today announced it has partnered with Dynasty Financial Partners.

First Allied Teams Up With Tambaro Financial Services

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First Allied Securities will provide broker-dealer and custodial services to the newly created enterprise founded by Art Tambaro, former CEO of Royal Alliance.

Folio Investing Acquires Accounts Of BUYandHOLD

by FA Staff

Folio Investing has expanded its retail business with the acquisition of more than 20,000 customer accounts of the online investing service BUYandHOLD.

United Capital Recruits $2 Billion Firm

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United Capital Financial Advisers has recruited a 23-person advisory firm with more than $2 billion in AUM to its partnership, the firm announced today.

LPL's Stratos Wealth Adds Financial Advisory Firm

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LPL's fast-growing network firm, Stratos Wealth Partners, acquired a financial advisory firm and transitioned it to LPL's platform.

Five Things To Watch In The RIA Space In 2015

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Changing demographics and generational wealth transfers will lead to tremendous shifts in the RIA business.

White Paper LIsts 8 Steps To A Successful Advisor Practice

by FA Staff

Financial advisors should adopt eight key strategies aimed at achieving long-term success for their practices, according to a white paper from SEI and Pinnacle Advisory Group.

RIA M&A Activity Picks Up Pace In January

by FA Staff

RIA mergers and acquisitions in January outpaced the deal activity recorded in each of the previous two years, according to DeVoe & Company.

Pimco’s Baker, Dada Said To Retire, Dhoraisingam Exits

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Pimco managing directors Brian Baker and Suhail Dada are retiring and a third has left as the firm recovers from the most tumultuous year in its history, a source says.

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