Toby is a veteran journalist with more than a dozen years of experience in the field who joined Financial Planning in 2017 after prior tenures with the New York Daily News, Commercial Observer and City Limits. He earned an undergraduate degree in the humanities from the University of Texas at Austin and a master's degree in journalism from the Craig Newmark Graduate School of Journalism at the City University of New York. He has won a dozen business journalism awards during his time with Financial Planning, including those received for the 2020 podcast series "
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The tax-focused wealth manager’s parent disclosed lower first-quarter earnings after an eventful period marked by a proxy fight and a reported acquisition offer.
May 7 -
The enterprise could reach more than 50 registered representatives in the next couple of months, depending on how many of them leave MassMutual.
May 6 -
As its advisor headcounts in the W-2 channel have stagnated, Raymond James Advisor Select added a major former UBS quartet.
May 6 -
Peter Mallouk’s firm made its second multi billion-dollar deal in three months after its first private equity infusion last year.
May 5 -
The nation’s largest independent broker-dealer will onboard a substantially higher share of assets and advisors than after its last comparable deal in 2017.
May 5 -
The LPL and Private Advisor Group financial advisor serves on the Connecticut Autism Advisory Council, and he’s an expert in disability planning.
May 5 -
The parties are combining forces to offer other practices a longer term alternative to private equity deals.
May 4 -
Private equity-backed Wealth Enhancement Group unveiled its third largest deal ever and its first location on the West Coast.
May 3 -
More growth is on the way: the No. 1 IBD has one more massive recruiting move and a $300M acquisition to complete.
April 30 -
Despite a competitive fight among wealth managers for advisors, clients and industry AUM rankings, most practices are very small businesses — and some advisors want them to stay that way.
April 30 -
The litigation reveals how wealth managers’ deals with product sponsors work and how one with a former Voya unit went awry.
April 29 -
The policy issues grow more urgent every year, but lawmakers haven’t passed any significant legislation for nearly 4 decades.
April 29 -
The firm’s recruiting is also gaining steam, despite the ongoing impact to its bottom line from low interest rates.
April 28 -
The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.
April 28 -
The RIA roll-up could make as many as a dozen deals in 2021 through the new source of capital, CEO Marty Bicknell says.
April 27 -
In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.
April 27 -
Bailard appointed Sonya Thadhani Mughal under a succession plan and a series of moves unveiled by the wealth and fund company.
April 26 -
As the firm repelled a rare activist challenge, a potential private equity buyer has approached it, according to a news report.
April 23 -
Peggy Ho built the rival firm’s government relations team, and she’s joining the new firm at a pivotal time in wealth management regulation.
April 22 -
The legislation re-introduced in Congress could give more clients the option of seeking damages through the courts.
April 22
