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The firm is drawing heightened interest from advisors generating between $1 million to $5 million, according to CEO Paul Reilly.January 23
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“This didn’t seem like a very fair process,” says the ex-advisor, who was ordered to pay the firm $206,000 for breach of promissory note.January 8
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The firm has picked up 19 advisors and opened six offices this year.November 12
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The new hires came at the expense of Merrill Lynch and Wells Fargo.November 11
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As the college savings vehicle grows in popularity, regulator up scrutiny of brokerages’ recommendations to clients.November 6
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“I can’t remember seeing so many $5 million to $10 million [advisors] in the pipeline,” CEO Paul Reilly said.October 24
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The hybrid RIA pivots to take on Dynasty as a platform provider, offering equity as a sweetener.October 21
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New recruits hailed from firms including Wells Fargo, Merrill Lynch and Raymond James.October 17
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The firm is relying on firm reputation and word-of-mouth referrals for growth.September 27
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The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.September 18
