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Quarterly profits were down 15% year-over-year due to higher expenses at the firm's U.S. wealth management unit.
February 10
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A former RBC team that managed $200 million in client assets has signed on with Raymond James' Los Angeles office.
February 9
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John Carroll affiliates with hybrid RIA Independent Financial Partners and partners with retirement division Pensionmark.
February 9 -
No clarity on how regulators will decide to handle fiduciary standard proposed for broker-dealers, Schapiro said.
February 9 -
Following the success of her latest album and landing three Grammy nominations this year, the megastar's net worth is in the untold millions. With a Merrill Lynch advisor for a father, it begs the question: who is advising the pop star?
February 9
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High-net-worth unit of one of industry's biggest bank programs gets new leader in Terry Jenkins.
February 9 -
Conrad Siegel Investment Advisors's parent company serves defined benefit and 401(K) plans. Executives at those client firms became the clients for the advisory spinoff.
February 6 -
The recruit takes on a new role as complex manager at the firms latest office in Birmingham, Ala.
February 6 -
New hire will split his time between two community banks that Wintrust's holding company owns in the greater Chicago area.
February 6 -
Two veteran wirehouse advisors joined regional broker-dealer Wunderlich.
February 6
