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)
• UBS Financial Services Inc (2)

Top Leaving (Last 30 Days)

• Bank of America Merrill Lynch (4)
• Wells Fargo Advisors LLC (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

• Women and investing: What advisers need to know
• SEC targets compliance
• Focusing on 'yield chasing,' Finra issues watch list
• 'Superdowngrades' could sink munis
• Taxability of frequent-flyer miles up in the air
• Keegan reps offered chance to go indie by RJ

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Issue Archive

• Sunday, February 5, 2012
• Sunday, January 29, 2012
• Sunday, January 22, 2012

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Investments

Focusing on 'yield chasing,' Finra issues watch list

In a market defined by low interest rates, investors are searching for higher returns. But brokers had better be careful about how they try to deliver those results, according to their primary regulator. In a 16-page letter posted on its website Tuesday, the...

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• SEC targets compliance
• 'Superdowngrades' could sink munis
• Romney's IRA holdings pique interest

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Broker-Dealers

Keegan reps offered chance to go indie by RJ

Morgan Keegan & Co. Inc. representatives coming on board at Raymond James Financial Inc. will be given the opportunity to select whether they want to affiliate as in-house brokers or go independent. Providing that choice to the newly added financial advisers won't affect...

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• RJ dangles indie lure for Morgan Keegan reps
• Now, Dems iffy about universal fiduciary duty
• Senator to Citi: Enough already with the tax forms for frequent-flier miles

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Your Practice

Tech update: Data standards elusive

LACK OF DATA standards has slowed the evolution of the advisory business. “Things move at glacial speed in the financial services world,” said Bill Harris, who is probably best known for having served as chief executive at both PayPal and Intuit Inc. Mr. Harris many...

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• Here's what financial advisers should do (and not do) to protect clients from cybercrime
• It may be mostly about size, but Barron's lists captivate advisers
• Past performance may be a harbinger for future, after all

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Wealth & Retirement

Taxability of frequent-flyer miles up in the air

The issue of whether frequent-flyer miles can be taxed has been muddied by a statement by the Internal Revenue Service that awarding miles for opening a financial account can create a “taxable situation.” Since a 2002 ruling by the IRS, consumers haven't been...

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• Catch-up contributions help retirement
• IRA business seen booming
• (No heading)

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RIAs

Getting a firm handle on emotional intelligence

To a man and woman, the 1,300 advisers attending the TD Ameritrade conference in Orlando, Fla., last week likely would agree that the last four years have been the most challenging of their careers. In fact, the period's extraordinary volatility made managing client emotions as ...

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• Focus Financial replenishes acquisition war chest
• Schwab signs on three more for its indie branch program
• Finra challenges Schwab effort to stem class action claims

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