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Three big industry names are joining forces to form a new wealth management firm, Lebenthal Wealth Advisors.

Hector Sants, head of compliance and government, is to take a temporary leave of absence because of “exhaustion and stress” less than a year into the job.

The tax-focused independent broker-dealer has added two new executives to its management ranks.

In the latest deal for Focus Financial Firm, Boston-based RIA expands footprint, sees more acquisitions ahead.

Helen Nugent, an 18-year veteran of Northern Trust, oversees a team of five sales directors across a six-state region and will drive regional professional recruitment efforts.

A recent round of hires includes one Wells Fargo advisor with over $1 billion in assets under management.

The firm advises 119 families and has $540 million in assets under management.

Two former Morgan Stanley advisors with approximately $1 billion in assets have jumped to RBC in New York.

Goldman Sachs Asset Management(GSAM) announced it has entered into an agreement with Deutsche Asset & Wealth Management(DeAWM) to acquire DeAWM's stable value business, with total assets under supervision of $21.6 billion as of June 30, 2013

Securities and Exchange Commission Chair Mary Jo White met with leaders of the equities and options exchanges, FINRA, DTCC and the Options Clearing Corporation following the August 22 interruption in the trading of NASDAQ-listed securities.

Five former Merrill Lynch advisors with $900 million in assets have jumped to Janney in Connecticut.

Assets under management and state-registration among RIAs are up this year, with Dodd-Frank Act requirements resulting in a major industry shift.

VisionPoint Advisory Group is looking to use the giant independent broker-dealer as a base to expand by recruiting more advisors.

The independent broker-dealer network, which would be the nation's fourth-largest IBD if all its component businesses were consolidated, has named a 42-year-old internal candidate.

Independent RIAs in the increasingly competitive -- and lucrative -- San Francisco Bay Area market may have to raise their game, according to a leading investment banker.

Atlanta Capital and PFM say they will offer more concierge services to families with less than $20 million in AUM.

The hires are part of BNY Mellon’s campaign to increase its nationwide sales force and add private and mortgage bankers and other professionals in top U.S. wealth markets.

Lincoln National, the insurer whose stock surged more than 60% this year, hired Ronald Holinsky from Janney Montgomery Scott to be chief compliance officer as the industry faces increased regulatory scrutiny.

Many people never spend the time necessary to choose a career that suits them-and they spend the next 40 years in jobs they don't enjoy.

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