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The paperwork of moving client assets in a transition is a chore for many advisors, but crucial to their success.
August 30
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Raymond James had scored the big team in May, before Securian's sale of its retail wealth business to Cetera closed.
August 28
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The agency views the capital providers as a governance risk, and it says there are industrywide social concerns about enforcement cases and cybersecurity.
June 29
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Betsy Jo Merritt accused regional directors of undermining her succession plan and causing the loss of millions of dollars in damages.
April 28
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The advisors left a firm called Regulus and aligned with AdvisorNet Financial as they seek to build a larger base of individual wealth and planning clients.
March 29
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The independent firm told financial advisors that selling their own practices without a greenlight from the corporate office could draw FINRA scrutiny.
March 27 -
The ratings agency said the firm's leverage, which is poised to spike from the acquisition, will ultimately decrease this year due to profits from rising interest rates.
March 9 -
The previously unreported case reflects shifting dynamics in the channel as the largest tax-focused wealth management firm hits one of its closest rivals with litigation.
March 2
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The firm also added $15 billion in client assets through recruiting in 2022 just before announcing the largest deal of CEO Adam Antoniades' tenure.
February 1 -
The mother-daughter team sold their practice to SageView Advisory after deciding that they needed to shed some tasks in order to spend more time with customers.
January 30
