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Wirehouse advisors
A $4B advisor goes indie after 37 years at wirehouses
Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.
RBC nets 3 teams with $1B in AUM
Two of the groups joined the regional firm from Morgan Stanley.
Advisors on the move: 37 of the biggest recent jumps
Raymond James grabbed five multi-million teams in a month. Other firms to see big transitions include Wells Fargo and Ameriprise.
LPL loses another top team to Cetera
The advisors come from a firm reported to manage over $5 billion in assets.
In UBS-RIA spat, a warning for advisors switching firms
A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.
Merrill Lynch loses $250M team to Dynasty
The firm continues a recruiting streak that has netted teams managing over $10.5 billion in assets this year alone.
Fiduciary rule final stand: ‘Please rethink this’
The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.
Where the recruiting momentum is shifting now
This year has seen more moves, bigger moves and more expensive moves.
Wells Fargo under regulatory scrutiny after huge client data breach
Regulators are contacting the bank after financial details of some 50,000 clients were inadvertently sent to an outside party, according to a person with knowledge of the matter.
Ex-Wells Fargo broker reportedly given files on thousands of clients and advisors
Social Security numbers and portfolio information for some high-net-worth clients and advisors was provided inadvertently as part of a lawsuit.
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