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May 23, 2019

Kestra Makes Big Play to Buy Books of Business From Retiring Advisors
The strategy looks at buying assets of advisors with at least $2 million in topline revenue.
Why LPL is Pitching an Employee Model and Launching a Premium RIA
But the company has yet to explain what these strategies really involve.
LPL Breakaway IFP Launches Independent Broker-Dealer
The move comes more than a year after declaring its intentions to break away.
Special Report: Asia’s Honor Roll offers Opportunity for Straight-A Local Investing
As Asian opportunities open up, advisors should be able to support even the most adventurous of clients.
UBS Loses Team to Fleming’s Rockefeller
Rockefeller is reportedly offering 300% or more in signing bonuses to lure top FAs from wirehouses.
UBS Ordered to Pay $7.8M Over Puerto Rico Bonds
A Finra arbitration panel had ordered the firm to pay compensatory damages to a married couple and their firm and purchase assets from their account.
Redtail CRM Data Breach May Have Exposed FA Client Info
The client relationship software provider told affected advisors that the data was temporarily available to anyone on the internet but affected less than 1% of Redtail’s clients.
College Programs Spring Up to Address Coming FA Shortage
Universities in Washington, Arizona and Utah have recently launched financial planning majors.