FINRA is "really open" to modifying the requirement that brokers have one year of supervisory experience to have a home office that only needs to be inspected once every three years instead of annually: advisorhub.com/finra-mulls-tw… #wealthmanagement #finra #wfh #regulation #remote

Osaic added five credit unions with $500M in assets from independent brokerage rival LPL Financial: advisorhub.com/osaic-adds-gro… #wealthmanagement #osaic #lpl #credit

CI Financial has completed buyouts of all its U.S. advisory firms and grew assets 23% year-over-year in the first quarter: advisorhub.com/ci-finalizes-b… #wealthmanagement #earnings #Q1

RBC Wealth Management U.S. reeled in a team managing $500M in assets from UBS Wealth Management USA in #Syracuse: advisorhub.com/ubs-team-manag… #wealthmanagement #rbc #ubs #advisormoves #ny

FINRA is “hoping to file” a new proposal to expand the limits from the current $100 maximum that brokers can give to their clients per year: advisorhub.com/finra-to-re-pr… #wealthmanagement #finra #gift #regulation #wirehouse

Compliance officials are calling for better tools and regulatory guidance for keeping tabs on increasingly remote workforces: advisorhub.com/wheres-waldo-c… #wealthmanagement #wfh #finra #regulation #remote

Rachel Zhang, CFA®, CFP®, a Morgan Stanley broker managing $300M in assets joined Rockefeller Capital Management in Newtown, #Pennsylvania with client associate Peggy Simmons: advisorhub.com/rockefeller-na… #wealthmanagement #advisormoves #PA #MA #rockefeller #ubs #wells

Summit Trail Advisors, a #NYC based advisory firm managing $23.6B, has hired Jeff Ringdahl as its COO and President: advisorhub.com/summit-trail-h… #wealthmanagement #executivemoves #wirehouse #ria #summittrail

A broker in #Georgia was ordered to repay Wells Fargo Advisors $515k tied to the unvested balance of a growth award that he had earned in 2016: advisorhub.com/wells-fargo-re… #wealthmanagement #finra #arbitration #clawback #wells #wirehouse

Simon Quick Advisors, a New Jersey-based RIA managing $6.7B in client assets, has laid down roots in #Texas: advisorhub.com/new-jersey-ria… #wealthmanagement #NJ #ria

FINRA censured Wells Fargo Advisors and fined it $150K for failing to properly safeguard customer information when brokers left the firm: advisorhub.com/wells-fargo-fi… #wealthmanagement #settlement #wellsfargo

In a bid to capture next-gen advisors, Schwab Advisor Services is launching a program to help relatively small advisors managing up to $300M launch their own firms: advisorhub.com/schwab-aims-ri… #wealthmanagement #schwab #ria #breakaway

#Chicago based Hightower Advisors has notched its second deal of the year with a stake in a #Dallas based RIA that manages about $2B in assets focusing on serving airline pilots: advisorhub.com/hightower-take… #wealthmanagement #hightower #ria

Stifel Financial Corp. underscored its revived recruiting efforts with a team of Merrill Lynch lifers managing $540M in client assets: advisorhub.com/merrill-lynch-… #wealthmanagement #stifel #advisormoves #PA #NJ #merrill

Caprock Group, which manages around $10B for 400 families, has hired Frank Giuliano from LPL Financial to lead M&A and recruiting: advisorhub.com/caprock-hires-… #wealthmanagement #caprock #lpl #ria #recruiting #executivemoves

A 29-year industry veteran registered with Osaic was fined $10k and suspended for seven months, but the math may have still worked out in his favor: advisorhub.com/worth-it-broke… #wealthmanagement #osaic #finra #ubs #wirehouse

Lido Advisors, LLC a Los Angeles based RIA managing close to $30B, raised capital from #NYC based credit manager HPS Investment Partners, LLC: advisorhub.com/los-angeles-ri… #wealthmanagement #CA #ria #blackrock

A seven-person team led by brothers Wesley and Chad Hunter, CFP®, CIMA® has left RIA Bison Wealth to launch their own advisory firm in the #Orlando suburb of Lake Mary: advisorhub.com/583-mln-practi… #wealthmanagement #florida #advisormoves #breakaway #ria

Wells Fargo Advisors tweaks threshold for FiNet practices hiring from its employee channel: advisorhub.com/wells-fargo-tw… #wealthmanagement #wellsfargo #finet #wirehouse

Three teams managing $1.4B combined have left UBS Wealth Management for Wells Fargo Advisors, Stifel Financial, and Morgan Stanley: advisorhub.com/ubs-teams-with… #wealthmanagement #advisormoves #california #texas #stifel #ubs #wellsfargo #morganstanley