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A wealth manager, with $65 million in client assets before he left the regional broker-dealer, joined an independent firm affiliated with SagePoint Financial.
February 18
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Two former UBS advisors with over $120 million in client assets have signed on with Aegis Capital Group, an independent broker-dealer and RIA.
February 18 -
Advisor Billy Belcher joined the firm's independent broker-dealer.
February 13 -
No clarity on how regulators will decide to handle fiduciary standard proposed for broker-dealers, Schapiro said.
February 9 -
The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.
February 3 -
Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.
February 3 -
Though the mutual fund provider will have a majority ownership in eMoney, the company will remain independent.
February 2 -
A Morgan Stanley advisor left the firm to join HighTower.
February 2
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Large data pulls required in stepped-up SEC exam are not related to ongoing troubles at Girard parent RCS Capital or American Realty Capital, CEO says.
January 30 -
Latest setback for Schorsch's financial empire as accounting firm steps aside.
January 29 -
Ameriprise Financial reported 33% year-over-year growth in wealth management profits.
January 28 -
A pair of sessions at the FSI OneVoice conference focused on recruiting and retention challenges facing IBDs, many of which center on hybrid or dually registered RIAs who are edging toward greater independence.
January 28
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But while quarterly earnings at the company's wealth management unit dropped 7% from the previous quarter, they were up 30% year-over-year.
January 21 -
A wealth manager with 30 years of experience left Citigroup Global Markets to join the year-old Lebenthal Wealth Advisors as a producing branch manager.
January 21 -
A former BNY Mellon advisor that managed $850 million in client assets has formed an RIA affiliated with Raymond James' independent RIA channel.
January 6 -
Changes to the RIA Leaders rankings illustrate a hard truth about the industry.
January 1 -
Cerulli predicts that market share gains in the RIA and dually registered channels will likely come at the expense of wirehouses and independent broker-dealers.
December 31 -
Three of the four formed a team with $218 million in assets under management.
December 31 -
The latest Schorsch bombshell "makes quality advisors super uncomfortable," says executive recruiter Mindy Diamond.
December 30 -
Nicholas Schorsch has resigned from RCS Capital, New York REIT and 11 other non-traded real estate investment trusts and direct investment programs sponsored by AR Capital.
December 30
