LPL Financial

LPL Financial

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Business head: Matthew Enyedi

No. clients: 342

AUC: $105,000

Min. assets: None

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In the News

What will happen to the little RIA when Schwab acquires TD Ameritrade?

December 3, 2019 - The Charles Schwab-TD Ameritrade combination creates a tough road for smaller registered investment advisers, meaning those firms with less than $100 million in client assets. With two giant RIA custodians coming together to form a mega-firm with $5 trillion...

Team managing $550 million at Northwestern Mutual goes indie with LPL

December 2, 2019 - Gatewood Wealth Solutions, a 13-person team managing $550 million at Northwestern Mutual in St. Louis, has gone independent and affiliated with LPL Financial's broker-dealer and corporate registered investment adviser platforms. [More: See more adviser...

LPL improves ClientWorks to chop five minutes from account opening process

December 2, 2019 - As LPL Financial works to save advisers one hour per day through technology improvements, it is starting with five minutes. The new account opening tool going live Monday on ClientWorks, LPL's digital workstation for advisers, has 30% fewer fields to...

Ameriprise hybrid managing $350 million moves to LPL

November 26, 2019 - Canal View Financial Advisors, a seven-professional team managing $350 million, has switched its broker-dealer and registered investment adviser affiliations to LPL Financial from Amerprise Financial. [More: See more adviser moves in InvestmentNews' Advisers...

Five brokers lose Ohio National lawsuit over annuity commissions

November 22, 2019 - A group of five brokers lost a lawsuit against Ohio National Life Insurance Co. over the insurer's termination of commission payments for certain variable annuity policies. Judge Emily C. Marks of U.S. District Court in Alabama dismissed all claims made...

Hybrid managing $225 million switches to Commonwealth from LPL

November 20, 2019 - BostonPremier Wealth, a hybrid firm managing $225 million in Hanover, Mass., has switched its broker-dealer and registered investment adviser affiliations to Commonwealth Financial Network from LPL Financial. [More: See more adviser moves in InvestmentNews'...

Technology isn't easy for big companies. Just ask Disney

November 19, 2019 - Last week saw the official launch of Disney+, the new video streaming service from Disney that's challenging technology companies like Netflix and Amazon. By the numbers, it was an overwhelming success, with 10 million people signing up on the first day....

Regulators can do more to protect vulnerable, senior investors

November 14, 2019 - In recent years, our industry has taken enormous strides to prevent the financial exploitation of seniors. Regulators, firms and financial advisers have united in their efforts to create, enhance and utilize tools designed to protect senior investors....

LPL backs off lucrative recruiting deal

November 14, 2019 - LPL Financial is dialing back on a lucrative recruiting offer, reducing the transition assistance package by at least 20% to potential recruits, according to a memo sent this week to recruiters. The largest independent broker-dealer, LPL recently has...

Technology systems challenged to be all things to all advice firms

November 7, 2019 - As investment management becomes increasingly commoditized, executives across the financial advice industry see technology playing a critical role in the expanding value advisers can offer clients. But successfully implementing new technology remains...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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