Industry

Certain courses can provide specialized knowledge and demonstrate competence — but pick the right ones.

The largest teams to go indie this year managed more than $5 billion in client assets.

Two advisers left Lebenthal Wealth Advisors to start their own practice approximately two years after they joined the firm.

The regional firm also says it recruited a junior Merrill adviser overseeing $39 million in client assets.

Which banks are advisers moving to? Here are 15 who have switched recently to BNY Mellon, Northern Trust, U.S. Bank and Wilmington Trust from myriad financial institutions.

The team's managing director is a wirehouse veteran with close to 30 years of industry experience.

"His lies, piled on one after another, have led to today’s substantial and serious charges," U.S. Attorney Peter Neronha said.

An ill-considered comment or a faux pas in the home stretch can wreck an adviser's plans to switch firms, writes coach and recruiter Elizabeth McCourt.

The firm's latest hires opened a new office for the regional broker-dealer.

Backed by the considerable resources of Manulife Financial, Hancock wants to be a player in an altered IBD marketplace.