A Daily Network publication

custodian

LPL Financial

FORT MILL, SC

CRD: 6413

In PWD coverage since September 25, 2026 · 16+ stories

$819BRegulatory AUMSEC Form ADV · Sep 26

41,879EmployeesForm ADV

4Deals on our tracker

+11Talent net · 12 months14 in · 3 out

Regulatory AUM · Aug 16 – Sep 26

Observed recruiting events · 12 monthsOn the wire →

Net +11 · 14 incoming events · 3 outgoing events

Matt Roberts, Kent Voges

Aug 13 · team liftout

Arrivals

HighWater Wealth

Aug 18 · from U.S. Bank

Aug 18 · from Edward Jones

McCutchen Wesson Wealth Advisors

Aug 20 · from Edward Jones

Paxel Financial Consulting

Aug 25 · from Cetera

Mariner Advisor Network

Aug 25 · from Mariner Advisor Network

Preferred Financial Group

Aug 25 · from Harbour Investments

Departures

Aug 19 · to Millenia Investments

Sierra Ridge Advisor Group

Aug 31 · to Cetera

Sep 11 · to WFA Volare

Deal recordFull tracker →

Sep 21, 26Deal announcedPrivate Advisor Group · Mariner Advisor Network — coverage

Aug 25, 26Deal closedMariner Advisor Network — coverage

Aug 16, 26Deal announcedFINNY AI — coverage

Jul 27, 26Deal announced

PWD coverage

M&A

HB Wealth acquires $700M Texas RIA; Hightower Signature adds Sandy Cove

Hightower Signature's third external acquisition of 2026 is expected to close at the end of the third quarter and would put the unit above $40 billion.

Moves · Oct 2TradePMR product chief Jon Patullo joins CG Financial as COO and CIO

move · Oct 1Fidelity gives sub-$100 million RIAs until June 2027 to grow or move custody

move · Oct 1Lakewood Wealth's $170 million Ann Arbor team moves from Cambridge to LPL

Moves · Oct 1Cullman/Holt Group, a seven-person UBS team with $1.3 billion, joins Wells Fargo FiNet in Ohio

Moves · Sep 30LPL recruits Lakewood Wealth Management's three advisors from Cambridge

Features · Sep 30BNY Pershing retires Wove, folds it into wealth unit as Fitch lists cash-rate winners

move · Sep 28UBS hires Merrill’s John Pham and Jimmy Yip, a $7.5 million Silicon Valley team

advisor_note · Sep 28Modern Wealth logs six advisor moves and a four-advisor liftout in one day

the_wrap · Sep 28Frost and LPL recruit UBS and Raymond James advisor teams

the_wrap · Sep 28Tavarez, Barnett & Steen leave UBS for Frost Investment Services

the_tape · Sep 28Frost, LPL, Modern Wealth, Merit and Keen add advisors in late September

Data · Sep 27LPL's $13.5 billion August net new assets rest on a modeled advisory mix

M&A · Sep 25Hightower splits the rollup from the growth unit to court a buyer

portfolio · Sep 25Schwab opens its cash shelf to a yield-splitting product

The Close · Sep 25The scarce input in consolidation is now the executive bench