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A new RIA in North Carolina formed by three recently departed wirehouse advisors has chosen to affiliate with Raymond James' custodian group.
May 14 -
Succession planning was the driving force behind the merger, according to principals for both firms.
May 13 -
Despite a commitment by Schorsch to keep top executives, Roth, the former Advisor Group CEO, will head the new management team.
May 13 -
Dynasty began to "unwind" its service agreement with Further Lane following SEC actions against the firm in late October 2013.
May 7 -
A former Morgan Stanley advisor team that managed $600 million in assets has left the wirehouse to join forces with HighTower.
May 6 -
Former wirehouse complex manager Tony Sirianni launches Sirianni Strategy Group, a consulting and marketing firm, to help independent firms attract wirehouse advisors.
May 6 -
Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.
May 5 -
Ex-commanders take new jobs as load-pushing 'advisors.' No wonder service members get victimized.
May 5 -
Among many troops who take their own lives, financial stress is a major contributing factor.
May 5 -
'The single most important driver of value by far is growth,' says Dan Seivert, CEO of Echelon Partners.
May 2
