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With FINRA likely to impose some kind of compensation disclosure rule this year, advisors need to think about how best to explain how they get paid to their clients.
February 1 -
Pimco named four deputy chief investment officers in an overhaul of its leadership team after Mohamed El-Erian's decision last week to step down as chief executive officer.
January 29 -
A UBS team of advisors with a billion dollars under management has left the Swiss bank to form IFM Capital Advisors, an independent registered investment advisor, with the aid of Focus Financial Partners.
January 29 -
Raymond James & Associates' branch manager of the year has grown his complex's annual revenue to $32 million from $4 million and boosted client assets to $5 billion.
January 23 -
UBS has added a team of six former Morgan Stanley advisors to its office in Atlanta.
January 23 -
The firm is expanding its operations, pulling talent from RBC Wealth Management and Wells Fargo Advisors.
January 22 -
Fidelity Investments said Ronald P. O'Hanley, the firm's head of asset management since 2010, will leave at the end of February, without giving a reason.
January 22 -
Dynasty Financial Partners has hired Ronald Sallet as senior vice president of network development, making good on its promise to boost business development in 2014.
January 22 -
Mohamed El-Erian resigned as head of bond-fund manager Pimco and will be replaced by Douglas Hodge.
January 21 -
Beirne Wealth Consulting, one of the nation's fastest growing fee-only RIA firms, has picked up a team of financial advisors from Morgan Stanley.
January 21 -
The Foundation for Financial Planning has named four new members to its board of trustees.
January 21 -
Edelman Financial Group announced Thursday that Tiburon Strategic Advisors managing partner Charles "Chip" Roame has been added to its board of directors.
January 16 -
The firm hired sales directors and other professionals in Chicago, Las Vegas, Boston and Madison, N.J., and opened an office in San Diego.
January 15 -
An advisory group in Winter Park, Fla. with $550 million in client assets leaves Morgan Stanley to go independent.
January 14 -
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January 13 -
The new hires are part of the wealth manager's campaign to increase its sales force by 50% and add private and mortgage bankers in key wealth markets by the end of 2014.
January 10 -
Citigroup Inc., the third-largest U.S. lender, said Deepak Sharma will retire as chairman of its private bank after 38 years with the firm.
January 10 -
Raymond James' Global Private Client Group CEO Chet Helck is retiring after a 25-year career with the firm.
January 10 -
In this newly created role, Philip Poole will lead research activity across the firms investment platform globally.
January 9 -
Rene Jones was also named one of two vice chairmen of M&T Bank.
January 8



