ADVISOR MOVES: TOP INFLUENCING FACTORS IN 2020
In 2020 we saw our worlds flipped upside down and found ourselves adjusting to a new normal filled with face masks and working from the comforts (or not so comforts) of our homes. Through unprecedented challenges, advisors continued to switch broker-dealers. With everything going on, it’s only natural to say to yourself: “Why would I […]
No “Perfect” Time to Move, But 2025 Stands Out for Advisor Transitions
2025 is shaping up to be an especially promising year for financial advisors considering a move to a new firm. Industry veterans will tell you there’s never a perfect time to change broker-dealers. Markets are always shifting, and there are always reasons to stay put. Yet current conditions make now one of the strongest windows […]
Is Your Disclosure A Deal-Breaker?
When financial advisors think about making a move, one concern that stops the conversation before it starts is this: “I’ve got a disclosure on my U4. No firm will want me.” But that assumption doesn’t always hold true—and we’ve got the proof. In a recent AdvisorHub article, a veteran advisor at a major wirehouse made […]
LPL Thinks Its Pitch Is Perfect For More And More Advisors
LPL Financial is turning up the volume—on both its branding and its competitive messaging. Speaking at the Bernstein Strategic Decisions Conference, LPL’s head of business development, Rich Steinmeier, continued his now-familiar refrain: LPL is closing the gap with the wirehouses, and it’s doing so loudly and confidently. As reported by AdvisorHub, Steinmeier highlighted how the […]
Raymond James Jumps Into the AI Space Race
Another Sign That Wider Advisor Adoption May Be on the Horizon Raymond James has officially entered the AI arms race—partnering with Zoom to roll out the platform’s AI-powered Meeting Summary tool for its financial advisors. The move marks one of the first high-profile implementations of generative AI technology by a major broker-dealer and could signal […]
What the LPL vs. Ameriprise Legal Truce Means for Advisors
If you’ve ever felt like collateral damage in a corporate legal war, you’re not alone — just ask the 30 independent advisors recently swept into the ongoing battle between LPL Financial and Ameriprise. The two giants have reached a temporary agreement in their dispute over data breach notices, but the broader fight is far from […]
Florida Advisors Have A Choice To Worry About
With the CHOICE Act poised to strengthen non-competes in Florida, advisors may face a shrinking window of opportunity. Florida is about to become ground zero in the national tug-of-war over non-compete agreements. On July 1, 2025, the state’s new CHOICE Act takes effect—granting firms broader power to restrict where and when high-earning professionals, including financial […]
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