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The multigenerational practice decided it was time to make the move.
June 21
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Julie Caperton, a longtime executive at the $1.9 trillion-asset bank, succeeds Julia Wellborn, who left the company in April.
June 18
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The hybrid firm’s giant parent tapped a new leader as it builds out a growing team with a mission.
June 16
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Here's what you missed this week in the world of financial advice, including people moves, deals, enforcement, and research.
June 11
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The Dallas-based hybrid RIA has more than 100 reps, and, if they follow the chief’s exit, it would be the the No. 1 IBD’s largest loss since 2019.
June 11
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The trio of advisors leaving Commonwealth for the regional firm are its largest “reverse breakaways” ever.
June 7
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Bob Doll, LPL, Advisor Group, Cetera, Northwestern Mutual, Thrivent, Commonwealth Financial, RIA in a Box and other news from around the industry.
June 4
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Concurrent is catering to breakaway teams assessing their options after back-office frustrations during the coronavirus, co-founder Mike Hlavek says.
June 3
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The private equity-backed wealth and 401(k) manager drew away an ex-Hightower team as part of its surging growth in the past year.
June 3
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Raymond James, LPL, Kestra, the SEC, Dynasty, Janney Montgomery Scott, Mercer Global Advisors, Adasina Social Capital, Fidelity and other quick takes from the week in financial advice.
May 28
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The firm serves UHNW clients, and the advisors embarked on a search in order to enable clients to have more access to private investments.
May 27
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Lots of people bounce back, but Jeremy Barnum’s rise is an unlikely Wall Street tale.
May 26
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Gabe Garcia had been working to transform E-Trade’s custodian since shortly after the retail brokerage purchased it in 2018.
May 25
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With technology upgrades and the hiring of former TD Ameritrade recruiters, the No. 1 IBD eyes further expansion in the RIA channel.
May 21
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Ameriprise, Raymond James, Edelman Financial Engines, Dynasty Financial Partners, Advisor Group, LPL, and other news, deals and career moves this week in financial advice.
May 21
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Two advisors left their prior firm of 10 years after the bank’s wealth and asset management unit generated record net income in the first quarter.
May 18
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The quartet of financial advisors leaving UBS after a decade also has an advisor with an equestrian specialty.
May 14
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RBC names new complex directors, Commonwealth added a $200 million team, an ex-advisor is serving 33 months for elder fraud, and other news from the week in financial advice.
May 14
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Nick Maroutsos, the head of global bonds at Janus Henderson Investors, is joining the legions of well-off Americans casting aside the shackles of their day jobs.
May 13
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The team managed $1.5 billion in client assets with Merrill Lynch, and they chose an RIA with ties to the wirehouse working in its favor.
May 7
