Advisers on the Move

Analyze recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Search Moves by Firm

Top Joining (Last 30 Days)

• Wells Fargo Advisors (7)
• RBC Wealth Management (3)
• Morgan Stanley Smith Barney LLC (2)

Top Leaving (Last 30 Days)

• Morgan Stanley Smith Barney LLC (7)
• Morgan Stanley Smith Barney (3)
• Merrill Lynch Private Banking and Investment Group (2)

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B-D Data Center

Explore the B-D Data Center to find exclusive information and intelligence about the independent broker-dealer industry.

Asset builders

1. Wells Fargo Advisors Financial Network
2. Commonwealth Financial Network
3. Raymond James Financial Services Inc.
4. Protected Investors of America Inc.
5. VSR Financial Services Inc.

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White Papers

Print Edition

• Lobbyists redouble efforts as SRO bill heads to vote
• Fed loans best option, even at twice the price
• Advisers are urged to fight against SRO proposal
• VA surrenders jumped after Hartford bowed out
• SEC to start enforcing municipal bond disclosure rules
• Advisers disagree with Kitces' take

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Issue Archive

• Sunday, May 13, 2012
• Sunday, May 6, 2012
• Sunday, April 29, 2012

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Investments

Advisers eighty-sixing 60/40 portfolio allocation: Survey

Traditional investment strategy seen as old school; value of buy-and-hold also questioned

More Headlines

• GOP in a box after JPMorgan loss
• As Warren Buffett goes, so goes GM
• George Soros bets big on gold — but advisers have a smarter play

More Investments »

Broker-Dealers

LPL's 401(k) rollover program could boost LPL's rollover capture

New service helps separating workers open IRAs, matches employees with LPL retail advisers

More Headlines

• Major matters: Not all college degrees created equal
• DOJ, FBI commence criminal probe of JPMorgan's $2B gaffe: Report
• LPL: Who's buying and who's selling stocks right now

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Your Practice

VA surrenders jumped after Hartford bowed out

After The Hartford Financial Services Group Inc. announced that it was getting out of the variable annuity business, surrender rates for existing contracts jumped sharply — a sign that registered representatives might be churning their customers' accounts. Even though The...

More Headlines

• Personal Capital launches iPhone app
• Advisers disagree with Kitces' take
• The basics behind the social-media button

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Retirement & Insurance

Fiduciary champion Hutcheson hit with more charges

Latest suit claims he violated ERISA in alleged $3.2 million theft from retirement plans

More Headlines

• Want a smaller tax bite in retirement? It all depends on where you take income from
• Star adviser Evensky on board with retirement specialist designation
• Translating Medicare-ese for financial advisers

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RIAs

United Capital dialed in to different type of asset with Pomeranz buy

Rollup firm acquires much smaller outfit — but lands popular radio show in the process

More Headlines

• A case of two wives and one pension
• Judge tosses Schwab suit against Finra
• NAPFA's next chairman will fight Finra oversight

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