Results for "breakaways"

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Ritholtz, Brown launch RIA firm with five advisers

September 16, 2013

Barry Ritholtz and Josh Brown have launched their own independent investment advisory firm, the advisers and media personalities told InvestmentNews on Monday. The firm, which is known as Ritholtz Wealth Management, will launch with five advisers....

Finra board to tackle broker comp rule next week

September 11, 2013

The Financial Industry Regulatory Authority Inc. next week plans to consider a revised proposal that would require brokers to disclose the compensation they receive when switching firms. The item is on the agenda for the Sept. 19 meeting of...

Leitz elected NAPFA national chair

September 4, 2013

The new chairman of the National Association of Personal Financial Advisors wants to make the organization the home for the growing number of advisers who are migrating to the RIA sector. NAPFA announced today that Linda Leitz, co-owner and...

Focus adds $2.2 billion RIA Telemus

August 12, 2013

Focus Financial Partners LLC announced Monday it added Telemus Capital Partners LLC of Southfield, Mich., to its roster of 27 partner firms. Telemus, with $2.2 billion in assets, was founded in 2005 by former UBS AG brokers Gary Ran, Bob Stone...

The Takeaway: Where active managers have an edge

August 5, 2013

Portfolio Wanna stay safe in the bond market?  Stick with the less expensive funds, for starters.  (Morningstar) Ladies and Gentlemen, we've finally found a segment of the market where active managers have an edge...  (Focus on Funds) Piper...

Focus adds Midwest firm to the fold

August 5, 2013

Focus Financial Partners announced today that LaFleur & Godfrey Inc., a $400 million-in-assets advisory firm based in Grand Rapids, Mich., has joined the Focus partnership. LaFleur & Godfrey was founded in 1987 and is led by its two principals,...

FiNet adds hybrid affiliation option for new recruits

August 2, 2013

Wells Fargo Advisors Financial Network LLC, the independent brokerage arm of Wells Fargo & Co., commonly known as FiNet, has quietly begun offering a new hybrid affiliation option for advisers who want their own RIA firms. FiNet recruiters began...

LPL has solid second quarter but recruiting still sluggish

July 31, 2013

LPL Financial LLC today reported a second consecutive quarter of weak recruiting even as its overall financial results for the period topped expectations. The firm has long been a recruiting juggernaut, with a longstanding goal of 400 to 500...

The Takeaway: Big savings for small advisory firms

July 26, 2013

Portfolio Japan defies the naysayers and finally produces a bit of inflation. Is wage growth next?  (Bloomberg) JPMorgan goes to the top of the pile on its year-end S&P target - 1775!  (MoneyBeat) Wall Street's chief strategists vs the S&P...

Securities America, NorthStar Financial unveil RIA

July 19, 2013

Securities America Inc. and NorthStar Financial Services Group LLC have officially rolled out a jointly owned RIA firm designed for use by midsize hybrid advisers. The new RIA firm, Arbor Point Advisors LLC, will serve as a corporate RIA for...

The Takeaway: Did you buy the dip? Guess who did?

June 25, 2013

Portfolio Last week was the worst S&P 500 drop of 2013. Guess who bought the dip...  (The Reformed Broker) Mark Hulbert: You're all way too optimistic still, the worst is yet to come in this correction.  (MarketWatch) Regional bank stocks...

The Takeaway: Some advice for BlackRock's Larry Fink

June 19, 2013

Portfolio FOMC: No change in rates and barely any change in statement. Here's Neil Irwin's liveblog:  (Washington Post) Tom Brakke has some advice for BlackRock's Larry Fink vis a vis their active manager issues .  (Research Puzzler) The cost...

HighTower signs first adviser to new platform

June 4, 2013

Shaffer Wealth Management has become the first financial advisory firm to join the HighTower Network — a platform that gives breakaway advisers access to the RIA partnership's resources, but allows them to maintain control over their own practices....

J.D. Power: Satisfaction with investment firms up

May 12, 2013

Investor satisfaction with large investment firms continues to inch higher since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and investment performance, a new survey has...

Satisfaction with advisers climbing; RBC, Fidelity lead the pack, J.D. Power says

May 9, 2013

Investor satisfaction with large investment firms continues to inch upward since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and their investment performance, a new survey...

Brightscope set to push out adviser fees

April 9, 2013

Brightscope Inc. has begun collecting fee data from advisory firms' ADV forms and plans to begin releasing the information sometime this year, potentially providing the public with a powerful tool to compare advisers' pricing. “If we can help...

Breaking away: $400M Merrill team departs, forms RIA

April 2, 2013

A $400 million Merrill Lynch team, led by James Maher, left last week to form a new advisory firm, Archford Capital Strategies LLC. Based in Swansea, Ill., a suburb of St. Louis, the new firm also has an office in Creve Coeur, Mo. Joining Mr....

HighTower back in the market with big Merrill team addition

February 21, 2013

After a fourth-quarter hiatus from adding new adviser teams, HighTower Advisors LLC is back in the market. The private-equity-backed partnership of advisory practices Tuesday announced the addition of its largest team of advisers in the past...

Breakaway brokers staying put in 2013

February 17, 2013

Jeff Spears, like every other executive hoping to lure wirehouse brokers to the independent channel, was expecting business to pick up for his firm this year. With another year wiped clean from the multiyear retention packages given to thousands...

TD scored big with breakaways in 2012

January 23, 2013

A strong gain in net new assets took TD Ameritrade Institutional over the $200 billion asset level last month. And the unit continues to snag its fair share of breakaway brokers. The gain marks something of a milestone for the custody business...

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