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)

• 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.

Top paying B-Ds

1. Commonwealth Financial Network
2. Wells Fargo Advisors Financial Network
3. Geneos Wealth Management Inc.
4. Ameriprise Financial Services Inc.
5. Financial Telesis Inc.

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White Papers

Print Edition

• Performance reporting is vexing
• Different takes on risk assessment
• Role reversal? Pimco dons equities, Janus tries on bonds
• All-public panels are a hit with investors, Finra says
• Broker-dealer's parent gets its stock out of hock from a pawn shop
• Dodd-Frank deadline looms for family offices

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Issue Archive

• Sunday, January 29, 2012
• Sunday, January 22, 2012
• Sunday, January 15, 2012

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Investments

Bernanke does muni investors a solid

Fed's low-interest-rate policy making tax-exempt debt very attractive, say portfolio managers; 'renewed confidence'

More Headlines

• FaceBook IPO should float T. Rowe's boat
• How a graffiti artist tagged Facebook for a $200M payday
• Emerging markets re-emerging as good bets

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Broker-Dealers

RJ dangles indie lure for Morgan Keegan reps

Offer 'clearly compelling,' says headhunter; CEO Reilly expects to retain 90% of MK's advisers

More Headlines

• Now, Dems iffy about universal fiduciary duty
• Senator to Citi: Enough already with the tax forms for frequent-flier miles
• Broker-dealer's parent gets its stock out of hock from a pawn shop

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Your Practice

Clients with Alzheimer's pose 'scary' legal risks

Advisers unable to meet fiduciary obligation to clients with reduced capacity; 'document, document, document'

More Headlines

• Not clued in about LinkedIn? Big mistake, advisers say
• When it comes to client benefits, it's forms over function
• Pru will pay $17M to settle with seven states over death benefits

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Wealth & Retirement

The return of pensions? Treasury backs annuities in retirement plans

American retirement security now ranks as a top concern of the White House, right up there with unemployment and the federal budget deficit. In a joint announcement Thursday, the Departments of Treasury and Labor unveiled two executive actions to expand the transparency of 401(k) fees and broaden the availability of retirement plan payout options to encourage the use of annuities to provide lifetime income.

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• Treasury's lifetime-income proposals lean heavy on education
• Women and investing: The $15 trillion opportunity
• Cheney: Obama playing 'small ball' on entitlements

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RIAs

Focus Financial replenishes acquisition war chest

Focus Financial Partners has replenished its RIA acquisition war chest with a new $220 million credit facility and is keen to land high-end teams from wirehouses.

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• Schwab signs on three more for its indie branch program
• Finra challenges Schwab effort to stem class action claims
• TD's Bradley: Volatility ups value of adviser

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