Recruiting
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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 -
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 -
The MC of the Conference of African American Financial Professionals discusses The American College of Financial Services’ efforts to improve diversity in the industry.
May 17 -
The quartet of financial advisors leaving UBS after a decade also has an advisor with an equestrian specialty.
May 14 -
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 -
With Edward Jones poised to settle a racial discrimination class action for $34 million, what does the case say about the state of diversity and inclusion in wealth management?
May 12 -
After its industry-leading headcount dipped slightly during the temporary ban, the wealth manager plans to offer more resources for incoming recruits.
May 10 -
The RIA completed seven transactions in the first quarter, along with starting a new international venture in partnership with the billionaire Hinduja family.
May 10 -
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 -
The tax-focused wealth manager’s parent disclosed lower first-quarter earnings after an eventful period marked by a proxy fight and a reported acquisition offer.
May 7 -
People moves and deals at RBC, LPL, Baird, Dynasty, Beacon Pointe, Rockefeller Capital Management and other quick takes from this week in the financial advice industry.
May 6 -
The enterprise could reach more than 50 registered representatives in the next couple of months, depending on how many of them leave MassMutual.
May 6 -
As its advisor headcounts in the W-2 channel have stagnated, Raymond James Advisor Select added a major former UBS quartet.
May 6 -
The company has benefited from a market surge, new investors and an uptick in broker breakaways.
May 5 -
The nation’s largest independent broker-dealer will onboard a substantially higher share of assets and advisors than after its last comparable deal in 2017.
May 5 -
The parties are combining forces to offer other practices a longer term alternative to private equity deals.
May 4 -
Private equity-backed Wealth Enhancement Group unveiled its third largest deal ever and its first location on the West Coast.
May 3 -
More growth is on the way: the No. 1 IBD has one more massive recruiting move and a $300M acquisition to complete.
April 30 -
Advisor Group, Raymond James, LPL, New York Life, Stone Point Capital, and other news and moves of the week in the financial advice world.
April 30 -
The firm slimmed down its headcount slightly, even as it saw an uptick in advisor-related revenues from fees and asset management.
April 29


















