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Registered Rep.
June 28, 2013
Diana Britton |
60 seconds with Scott Collins We asked the Director of Advisor Transitions for TD Ameritrade Institutional what can we expect to change in advisor recruiting going forward?   |
Registered Rep.
January 25, 2010
Halah Touryalai |
LPL's New RIA Platform Rakes in Assets Since launching the platform in October 2008 through the end of 2009, the firm gathered $7.3 billion in assets. |
Financial Planning
September 1, 2011
Donna Mitchell |
Hot Topics Patented portfolio allocation software MoneyGuidePro... Two former LPL Financial executives start FirstPoint Partners... Advisor Partners appointed Daniel S. Kern as its president... |
Financial Planning
January 1, 2010
Stacy Schultz |
Making a Statement When Raymond James bumped up its minimums in November, it positioned itself for a new standard, but could bad timing hinder its strategy? |
Registered Rep.
December 4, 2012
Diana Britton |
Comings and Goings: December 2012 Russ Koesterich has been promoted to the newly created position of chief investment strategist of BlackRock... Timothy Fisk has joined wealth management firm Glenmede... Ellen Turf will step down from her role in August 2013 as CEO of The National Association of Personal Financial Advisors... |
Registered Rep.
April 9, 2012
Jerry Gleeson |
RIA Rising: TD Ameritrade's Dorsey on What Advisors Should do First Peter Dorsey, TD Ameritrade's new managing director of institutional sales, has this tip for advisors: restrain the urge to tell potential clients what you know at the get-go. |
Investment Advisor
June 2009 |
Changes People on the move: Debbie McWhinney head of Citi Personal Wealth Management... Lynn Turner named senior advisor and managing director in the forensic accounting practice of LECG... Dennis Klaeser recently joined Raymond James... more... |
Investment Advisor
September 2009
Melanie Waddell |
Not So Fast Cerulli Associates data suggests there may be fewer wirehouse brokers breaking away. |
Registered Rep.
February 7, 2012
David A. Geracioti |
Von Aldo: AMTD Institutional Promotes Bradley, Nally Just two days after the close of iTD Ameritrade Institutional's annual gabfest, Tom Bradley, the president of the institutional unit, was named head of TD Ameritrade Holdings' retail distribution unit. Succeeding him will be Tom Nally. |
Registered Rep.
February 13, 2012
Jerry Gleeson |
Raymond James Ramping Up Its RIA with New Leadership, Investment The new president, Bill Van Law, said the company plans to make a significant investment in the business in the months ahead. |
Registered Rep.
April 1, 2007
John Churchill |
Can Schwab's RIA Empire be Toppled? Last year the online-broker-turned-advice-provider extended an already massive lead over rivals Fidelity and TD Ameritrade in RIA asset gathering. Is there no challenger to Schwab's throne? |
Registered Rep.
October 29, 2009
Kristen French |
RJFS Raises RIA minimums, LPL Pulls Past RJ in RIA Assets Raymond James is raising minimums for new RIAs who want to custody assets on its RJFS-IAD platform from $30 million to $50 million. |
Registered Rep.
July 22, 2010
Christina Mucciolo |
Raymond James Financial and Wells Fargo Retail Brokerage Units Hang In There A report on earnings from two major financial firms. |
Registered Rep.
April 17, 2012
Jerry Gleeson |
TD Ameritrade Recruitment of Breakaways Up 10% The number of breakaway brokers joining TD Ameritrade in its fiscal second quarter continued at the double-digit pace set in 2011. |
Financial Planning
April 1, 2010
Donna Mitchell |
Going for Growth As RIAs gear up to grow their practices this year, they are doing more than scooping up unhappy wirehouse clients. They have identified three major strategies: increase spending on marketing, more technology, and improve client service. |
On Wall Street
December 1, 2011 |
Who's News Morgan Stanley Smith Barney hired three advisors from UBS Financial Services... Bank of America Merrill Lynch hired Morgan Stanley Smith Barney advisors Raymond Stacy and Christopher Pieper... Wells Fargo Advisors hired advisor Zoran Vaz... |
Registered Rep.
May 1, 2012
Diana Britton |
Comings & Goings: May 2012 Raymond James named Erik Fruland as chief operating officer... M. Kitces has been named a partner at Pinnacle Advisory Group... Matt Lynch has landed at Tiburon Strategic Advisors... |
Registered Rep.
October 15, 2009
Christina Mucciolo |
Schwab Q3 Earning Down, But the Race For RIA Assets Is Hot Charles Schwab reported a 34 percent drop in its third quarter earnings, the firm's third consecutive quarter of slowing earnings this year. |
On Wall Street
February 1, 2012 |
Who's News New hires for Merrill Lynch Wealth Management, Morgan Stanley Smith Barney, UBS Wealth Management, and Raymond James. |
Financial Advisor
January 2008
Tracey Longo |
Breakaway Brokers Despite being in business a shorter amount of time than the average advisor, breakaways have more assets under management, higher total revenues and a significantly higher growth rate. |
Financial Planning
December 1, 2008
Brooke Southall |
RIA Power Registered investment advisory firms are bringing in more assets these days than are wirehouse brokerage firms. |
Registered Rep.
February 29, 2012
Jerry Gleeson |
It's a Tough Route for Younger Advisors Anew report by Charles Schwab, which shows that advisors under the age of 40 are more likely than their older peers to feel pressure to grow their book of business, or to focus on selling proprietary products. |
Registered Rep.
July 1, 2006
Kristen French |
Trading Up The Wealth Advisor Institute, a new trade group for advisors who cater to the wealthy, opened its doors in June. |
Registered Rep.
April 24, 2009
Halah Touryalai |
Raymond James Takes a 2Q Hit -- But Gains Retail Advisors Raymond James Financial posted dismal overall earnings for the second quarter, but its private client group appears to be a bright spot. |
Registered Rep.
March 1, 2007 |
Comings & Goings President and CEO of Janney Montgomery Scott, James Wolitarsky, will retire... UBS appointed Michael Roberts managing director and head of UBS Trust Services... Morgan Stanley hired 10 investment professionals... etc. |
Financial Advisor
January 2004
Dorothy Hinchcliff |
Custodians Are Knocking More custody players have been clamoring for the business of registered investment advisors, and that trend will continue this year, say two well-known research firms for financial institutions and investment managers. |
Investment Advisor
April 2008
James J. Green |
Deep Bench To offer wealth management services efficiently, you need strong performers in your corner. |
Financial Planning
June 1, 2008
Elizabeth O'Brien |
Set Me Free LPL Financial staked a bigger claim on the independent advisor market last month with the announcement that the broker-dealer will allow its advisors to do business under their own RIA. |
Financial Planning
May 1, 2011
Donna Mitchell |
Hybrid's New Groove Registered investment advisor firms looking for ways to expand their businesses might try turning to broker-dealers for a boost. |
On Wall Street
May 1, 2011 |
Who's News News from UBS Wealth Management, Stifel Nicolaus, and Raymond James. |
On Wall Street
July 1, 2010
Lee Conrad |
Barclays Builds Its Beachhead In The U.S.-- But Can It Pick Up The Pace? There are lingering questions in some corners over whether Barclays Wealth can really make a go of it in the United States. |
Registered Rep.
July 29, 2013
Diana Britton |
No Man Is an Island Independent broker/dealers are dressing up their offerings to attract and retain advisors tempted to start their own RIAs. |
On Wall Street
October 1, 2011 |
Who's News Bank of America Merrill Lynch hired Wells Fargo advisor Adam Gurien... Morgan Stanley Smith Barney has hired a team of Wells Fargo Advisors...Raymond James & Associates hires three advisors in Hingham, Mass... more... |
Registered Rep.
February 18, 2009
Halah Touryalai |
LPL's New RIA Offering Lookin' Healthy; But Still A Pipsqueak Compared To Rivals There are some folks in the industry actually doing relatively well these days. Seriously. LPL Financial said today its new-ish RIA platform now has over $1 billion in new assets. |
Financial Planning
November 1, 2009
John J. Bowen Jr. |
Getting the Right Help Financial services firms aren't doing enough to support the transition to wealth management. |
On Wall Street
January 1, 2011 |
Who's News New hires in the investment advisor field. |
Wall Street & Technology
May 15, 2006
Cory Levine |
Capitol Wealth Advisors Taps Paventi David Paventi has joined Capitol Wealth Advisors -- a new wealth management subsidiary of Capitol Bancorp -- as COO. |
Registered Rep.
July 14, 2009
Halah Touryalai |
Financial Advisor Switching Firms Jumps in June June was a busy month for financial advisors on the move. The number of advisors switching firms jumped 45 percent in June versus May, according to Discovery Database. |
Financial Advisor
June 2008
Tracey Longo |
Swimming Upstream California investment advisor John Threlkeld has been working diligently to serve wealthier and wealthier investors, even purchasing two other advisors' practices and turning all but his top clients over to a junior planner. |
Registered Rep.
February 9, 2010
Kristen French |
UBS Americas Bleeds More Client Assets in Q4, Advisor Attrition Way Down Clients continued to withdraw significant assets from the firm both in the U.S. and around the world. |
Financial Advisor
September 2008
Tracey Longo |
Laws Of Attraction A firm's ability to navigate trusts can be their calling-card to attract high-net-worth clients. |
Financial Advisor
November 2008
Gail Liberman |
War Breaks Out For Wirehouse Brokers The economic crisis on Wall Street, among many other things, is causing wirehouse brokers to reconsider the value proposition offered by the giant financial service firms. |
Financial Advisor
March 2012 |
UBS Reeling In Merrill Advisors The big four wirehouse firms are always trying to poach top talent from their rivals, but UBS Wealth Management seems to be doing a particularly job good job of late when it comes to snagging advisor teams from Bank of America/Merrill Lynch. |
On Wall Street
July 1, 2011 |
Who's News UBS Wealth Management Americas hired a two-member Bank of America Merrill Lynch team... HighTower Advisors hired a three-member Morgan Stanley Smith Barney team... etc. |
Registered Rep.
February 23, 2010
Halah Touryalai |
Clients, The New Breakaways First, there was the breakaway broker phenomenon; now, it seems, we have a growing vogue of breakaway clients -- former wirehouse investors who ditch their old advisors for new ones at independent RIAs or broker/dealers. |
Investment Advisor
July 2007
Green & Keane |
TD Ameritrade to Acquire Fiserv's Advisor Unit Under the complicated deal that will break up Fiserv ISS, TD Ameritrade will pay $225 million in cash for the operation. |
Registered Rep.
December 20, 2010
Diana Britton |
RIAs Reinvesting in Their Firms Despite Economic Uncertainty Forty-six percent said they are optimistic about the direction of the economy, up 30 percent from last quarter. |
On Wall Street
March 19, 2013
Bill Willis |
Recruiter's Tour of Raymond James Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James. |
Registered Rep.
February 7, 2012
John Aidan Byrne |
UBS' U.S. Brokerage Boosts Profits, Boasts Most Productive Advisors Despite global market conditions that lowered asset-based fees and transaction-based income, UBS Wealth Management Americas ended 2011 on firmer footing, earning $573 million for the year on revenues of $5.96 billion. |
Financial Advisor
May 2004
Raymond Fazzi |
Niche Players Provide More Choices For Advisors Many are trying hard to differentiate themselves---and are succeeding. |
