-
The practice received a recommendation from a surprising source and wound up picking its suitor after only a three-month search.
February 5
-
New hires come at a moment of heightened competition for talent industrywide.
February 5
-
Recruiting and retention of talent looms large for Advisor Group after it rolled up three firms in the wake of a massive acquisition.
February 4
-
The acquisition of another midsize wealth manager will boost the holding company above 2,500 reps with nearly $95 billion in AUA.
February 3
-
A dead client, an advisor accused of murder and fraud, and an industry that didn’t see it coming.
February 2
-
Despite the credit-positive reading by one agency, the IBDs are competing against less leveraged rivals.
February 1
-
The nearly 10,000 advisors affiliated with the firm grow 2.5 times as fast as their peers at rival brokerages, CEO Jim Cracchiolo says.
January 29
-
The increase comes as the recruiting market heats up.
January 28
-
The 2,500-advisor firm is sneaking up on larger rivals by adopting an approach that’s increasingly popular across wealth management.
January 27
-
A team that has grown through acquisitions dropped the No. 1 IBD after the institution purchased another one for more than $600 million.
January 27
-
One of the largest wealth managers aims to attract more teams out of the crop of nearly 7,000 advisors leaving employee-channel firms each year.
January 26
-
Arete Wealth’s niche focus on alts for HNW and UHNW clients has given it a strong foothold in a fractured sector, experts say.
January 22
-
SA Stone Wealth Management representative Gregory Frank Estes had already registered as a sex offender after a 2002 conviction, records show.
January 21
-
Firms affiliated with the broker-dealer can access the software for free through AdviceWorks.
January 19
-
The founding partners of the 300-advisor OSJ will remain in their current roles for three years under the same structure as before the deal.
January 13
-
The IBD completed a stellar recruiting year by adding a team led by a 30-year veteran advisor.
January 6
-
The firm’s use of third-party compliance vendors came under scrutiny after an ex-rep pleaded guilty to bilking clients out of $5 million.
January 5
-
SEC cases that go beyond faulting firms for their failure to disclose conflicts of interest have drawn pushback from the industry.
December 30
-
The wealth manager whose parent firm also owns an insurer and asset manager settled its third case involving the same time period.
December 23
-
The allegations involving 12b-1 fees, cash sweeps and commissions also include violations of best execution rules.
December 23
