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)

• Morgan Stanley Smith Barney LLC (4)
• Benjamin F. Edwards & Co. (3)
• LPL Financial (2)

Top Leaving (Last 30 Days)

• Wells Fargo Advisors LLC (5)
• Bank of America Merrill Lynch (4)
• UBS Financial Services Inc (3)

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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.

Capital cushions

1. Raymond James Financial Services Inc.
2. Ameriprise Financial Services Inc.
3. LPL Financial
4. Royal Alliance Associates Inc.
5. Waddell & Reed Inc.

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White Papers

Print Edition

• Carried interest sparks bipartisan tax debate
• 4% withdrawal rule called into question
• American Funds is the biggest loser in shift toward passive investments
• Raymond James rolls out the red carpet for Morgan Keegan
• Charitable incentives at risk
• Wirehouse market share has shriveled since crisis

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Issue Archive

• Sunday, January 22, 2012
• Sunday, January 15, 2012
• Sunday, January 8, 2012

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Investments

Oros bolts TCA to head up RIA sales for Fidelity

Industry veteran will oversee sales, relationship management

More Headlines

• No end to dividend bonanza, says Sterne Agee strategist
• PE man Romney not doing PE industry any favors
• No rising rates, no problem: Floating-rate funds still appealing

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Broker-Dealers

Reunion continues as UBS snags Merrill advisers with $2.5B in AUM

Teams rejoin former colleagues McCann, Mulholland; UBS bosses 'seen as regular guys'

More Headlines

• Morgan Keegan producers heading to St. Pete to talk retention
• Ex-Red Sox backstop wins $1.2M in damages from Merrill
• Merrill to pay $1 million over Finra arbitration rules

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Your Practice

Car salesmen miles ahead of advisers in consumer trust

Advice and investment industry lowest of the low in consumer faith, survey finds; banks not regarded much better

More Headlines

• Another tool to help re-balance the books
• Opinion: Days of easy money over for active managers
• Massachusetts on social media: It's advertising

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Wealth & Retirement

Obama tuition plan could get students sacked by bursars

Critics say proposal will lead to less Federal assistance, and thus less financial aid; 'Johnny Jones isn't going to appreciate that'

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• Thirty-year fixed still fixed below 4%
• Fed's low interest rates could lower interest in annuities
• Investment pros see Romney's tax break as welfare for the Mitt

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RIAs

Plan advisers want cost info first when talking to wholesalers

Retirement plan advisers are most interested about fees and expenses when talking to fund wholesalers.

More Headlines

• RIA deals MIA in second half of 2011
• Behringer Harvard client wants answers after seeing fund drop by 96%
• $2.5B Greystone adviser jumps to HighTower

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