Career moves

Advisors may sometimes overlook clients with special needs, despite the size of the community and available tools like ABLE Accounts.

If confirmed by the Senate, the former CFTC chairman would be the new administration’s front-line regulator for Wall Street.

Whitnell & Co. changed hands in a deal with a regional bank that also struck a strategic partnership with the wealth manager.

Firms will up their tech investments and continue rewards and punishments designed to shape advisor behavior, says recruiter Mark Elzweig.

The firm credited keeping its offices open during COVID-19 as a major selling point as FAs industrywide kept making moves and repapering their clients.

The IBD completed a stellar recruiting year by adding a team led by a 30-year veteran advisor.

It’s one of the largest teams to quit a wirehouse this year.

The firm has added 42 advisors this year with a combined $3.8 billion in AUM.

Jon Stein was a pioneer of the robo advice industry, building a $25 billion firm over the past decade.

The Buffalo, New York location is the independent firm’s 12th nationwide.