People Moves Related to "One effect of Ron Carson's exit from LPL after 27 years: His firm disclosed the use of forgivable loans to the SEC"

The case raises questions about the perils of how RIAs deal with sexually charged allegations in the financial services workplace.

The majority owner of the $35-billion RIA remains chairman but will shift focus to 'humanitarian' concerns

Vanguard seems to be erring toward new blood, though it was never purely old blood • RIA cash manager floats products to ultrahigh-net-worth • The former LPL top seller now sells wealth acquisition methadone

The founder of $1.5 billion Angelo Planning Group (APG) found out LPL was acquiring Commonwealth the same day he joined Commonwealth -- a switch precipitated by Osaic's merger with American Portfolios

First seven CEOs were replaced, then myriad big HR dominoes fell as Vanguard, Schwab, Envestnet, InvestCloud, LPL, Cetera and Orion all switched out CEOs and presidents

Adam Antonaides, 59, is exiting the CEO role as the No. 2 IBD shifts into higher gear to compete with LPL and take on a more RIA future

Analysts stunned, seeking further clarity from LPL on future leadership, are reassured by company that 'no further shoe will drop'

Well-regarded, Steinmeier has been LPL's go to player, after he was promoted to chief growth officer in May

Burnout and EBITDA weigh on CEO-types as never-ending exits claim Ron Carson, Aaron Klein, Bernie Clark, Rudy Adolf, Bill Crager and Tim Buckley.

With no CMO since August, the chief marketing officer will play catch up for a company still hungry to buy more branded B2B and B2C players.

The Fort Mill S.C. broker dealer added Crown Capital Securities' captive brokers in Orange County, and is hiring Althea Brown, fresh off 11 years at Google

Holly had bolted LPL for SageView with fanfare but he retained a fanbase back in San Diego which dreamed up a dream job for him

The Houston executive, like Kelly Smith in Chicago, was considered a key service talent for RIAs though Lopez says his circumstances differ.

Still a $2-billion cash-flow cow, the Swiss bank's 6,000-broker, US-based wirehouse is milking aging broker relationships with aging investors but needs a new kind of human presence, empathy, mindset and smarts to draw in Gen Z.

The St. Petersburg-based producer of 'synthetic RIA scale' will continue to aggressively hire and adjust its talent ranks as it readies for next growth push.

Ashish Braganza puts LPL in to the data game but critics wonder whether the belated hire comes with too small a budget and team

The new CEO will need to somehow weave together the debris of the first roll-up run and the new one to the satisfaction of RIAs and the hundreds of people already inside the HighTower umbrella

Neal Simon is running for U.S. Senate as an independent, an unusual risk; he also took precautions to make sure his $6.1B RIA roll-up finds its feet regardless of the mood of the Maryland electorate

When Eric Clarke decided he'd play matchmaker, the hyperactive Carson Group CEO snapped up Mineral Interactive and made a creative deal

Pre-IBM, Scott Posner spent 17 years at BNY Mellon where he rose to executive vice president leading the company’s strategic Initiatives group, reporting to the President