Industry

Before Dom Starsia talks about national titles, he unfolds a two-foot-wide spreadsheet that gives University of Virginia recruits a look at life after lacrosse.

Ken deRegt, a Morgan Stanley veteran called on to revamp risk-management and the fixed-income trading business after returning in February 2008, is leaving again to join investment firm Canarsie Capital Group.

Financial Planning unveils its annual list of the largest independent broker-dealers in June. As a sneak peek, here's a list of the 10 top IBDs ranked by high-end accounts -- as measured by the percentage of accounts with more than $100,000 -- and including their overall industry position.

Liana Magner has been appointed US Delegated DC Leader for Mercer’s Investments business.

Wells Fargo added a former Edward Jones advisor in Hudson, Ohio.

In a deal that could almost double its total revenue, J.W. Cole Financial, a Tampa, Fla., independent broker-dealer, announced Wednesday that it completed its acquisition of Financial Advisers of America.

Aberdeen Asset Management PLC wrapped up its acquisition of Artio Global Investors, a U.S. publicly-listed asset manager, effective May 21.

The damage from Massachusetts’ latest action against sales of non-traded REITS by independent broker-dealers may not be fatal, but it should cause firms to reconsider their sales strategies, say industry observers.

Recruiting and hiring experienced, client-facing advisors with ultra high-net-worth experience is extremely difficult right now, with demand high and supply low.

Boutique and hybrid models are poised for growth as larger firms cede market share, according to a new Cerulli report