Performance Reviews That Don't Stink
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More in RIAs
The Atlanta-based IBD, which offers advisory firms both a broker-dealer and a fee-based RIA multi-custodial platform, is closing in on a record $20 million in new revenues this year. more »
Advisors need to face a hard truth: Independent RIAs have lost this round. Fortunately, there are other, better ways to set yourself apart. more »
FINRA arbitration panel sides with a former Commonwealth Financial Network client who claims he lost his retirement savings due to bad retirement planning advice. more »
A deal with Strategic Wealth Partners, outside Chicago, was Focus's sixth of the year, bringing in $1.4 billion. more »
Frank Campanale, CEO of Lebenthal Wealth Advisors and a former executive at Smith Barney, spells out the key elements in firm's growth plans and recruiting strategy: brand, equity stakes and passion. more »
Washington Wealth Management lured away an advisor managing $100 million in assets and who had been at the wirehouse for three decades. more »
Competitors are 'welcome to call' clients, says new CEO Douglas Wolford, who replaced David Zier after the latter's suicide -- but none have left, he says. more »
"We have to continue to grow and we'll be looking at acquisitions, mergers, tuck-ins and roll-ups, all of the above," says Mark Allen, president of Nebraska-based Allen Capital Group. more »
Convergent CEO David Zier's death followed inquiries into his management of an outside fund, according to Chairman Steve Lockshin. more »
The independent broker-dealer has added former LPL affiliate Nelson & Nelson Wealth Management of Camarillo, Calif. more »
But the asset allocation and rebalancing service will launch first for retail before rolling out to Schwab advisors. more »
The “reverse churning” comes in when the client is in a wrap program, despite being a low-volume trader. more »
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