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 (2)
• RBC Wealth Management (2)
• Raymond James Financial Services (2)

Top Leaving (Last 30 Days)

• Morgan Stanley Smith Barney LLC (5)
• First National Capital Markets (1)
• Stifel, Nicolaus & Company (1)

View Adviser Moves »

B-D Data Center

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

Producer percentage

1. Leonard & Co.
2. Summit Brokerage Services, Inc.
3. Williams Financial Group
4. Kalos Capital Inc.
5. The Investment Center Inc.

View Full Ranking »

White Papers

Print Edition

• 60/40 allocation losing its luster, survey finds
• Advisers may 'like' Facebook - later
• brokersXpress not an option for Schwab
• When handing off a practice, beware of fumbles and stumbles
• Wealthy clients seek safe place to park cash
• Inland 'cooperating fully' with SEC investigators, chairman says

View Current Issue | Subscribe »

Issue Archive

• Sunday, May 20, 2012
• Sunday, May 13, 2012
• Sunday, May 6, 2012

More Archives »

Investments

Morgan Stanley refutes 'regulatory concerns' over Facebook IPO

Morgan Stanley (MS) defended its role in Facebook Inc. (FB)’s initial public offering after a Massachusetts regulator subpoenaed the bank over talks between an analyst and investors about the social media company’s revenue outlook.

More Headlines

• Private markets lose their Facebook cash cow
• Andy Friedman: Dividend stocks headed for trouble
• Chart of the day: 10-Year Treasuries vs. S&P stocks

More Investments »

Broker-Dealers

Live Bruce Kelly at Finra

More Headlines

• Finra looking into Facebook trading snafu
• Live updates about broker-dealers from Finra's annual conference
• Ex-employee sues JPMorgan over trading loss

More Broker-Dealers »

Your Practice

'Targets on their back,' wealthy turning to trusts

Shielding assets now a prime concern of the rich; different states, different rules

More Headlines

• Live Jim Pavia at Finra
• Blame game on after Facebook faceplant
• Live updates about social media from Finra's annual conference

More Your Practice »

Retirement & Insurance

Mary Beth Franklin: Will 401(k) fee disclosure boost index funds?

With plan fiduciaries looking at costs more closely, passively managed funds likely to be attractive

More Headlines

• Dilemma for Ford retirees: Monthly check or lump sum?
• Wealthy clients seek safe place to park cash
• No easy fix to withdrawal rates in retirement

More Retirement & Insurance »

RIAs

NASAA head bashes SRO idea — in Finra's den

At regulator's conference, Herstein criticizes move to take oversight away from states; 'sovereign obligation'

More Headlines

• Client churn a royal pain? Seek a niche
• brokersXpress not an option for Schwab
• Hopes for Tamarac deal: A 'one-stop portal' for front and back offices

More RIAs »