LPL Files for $600 Million IPO; Five Years after TPG Sale
By Janet LevauxLPL Holdings, with 12,000 affiliated financial advisors, files registration with the SEC nearly five years after selling 60% of the company to Texas Pacific Group (TPG) and Hellman & Friedman.
June 02, 2010
CFA Enrollment Breaks Last Year's Record With 9% IncreaseA total of 139,900 candidates from 160 countries--9% more than last year--enrolled for the chartered financial analyst exam this month, the CFA Institute announced Wednesday, June 2.
June 01, 2010
Correction, Bear Market, or Worse?Given the current economic climate and the decline in risky assets, I feel compelled to continue the conversation we began some three weeks ago. If...
June 01, 2010
Model Non-EmployeesAfter last year's banner surge, independent broker-dealers have seen a sharp falloff in new advisors. The question that begs asking: Has the RIA marketplace stolen...
June 01, 2010
A Moral Commitment to Your ClientsInterest among wirehouse brokers in going independent ebbs and flows over the years, depending on the size of recruitment packages and public standing and marketing...
June 01, 2010
Baton Rouge ConfidentialAs part of what I offer every client, and that I believe helps differentiate my practice, I help organize all their important documents on their...
June 01, 2010
Road to Independence: Four KeysIn the financial services industry, as in so many other professions, creating a successful enterprise comes down to a few key areas. First, you must...
May 27, 2010
SEC Asks New York Court to Freeze Advisor's Assets in $7 Million Fraud CaseThe SEC charged Manhattan-based financial advisor Kenneth Ira Starr with fraud and is seeking a court order to freeze his assets after he allegedly stole $7 million in client money for his personal use.