Results for "breakaways"

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Top Adviser Q&A: David Hefty

January 16, 2013

David Hefty is the 36-year-old chief executive of Hefty Wealth Partners, based just outside of Fort Wayne, Ind. Hefty gives details about his firm's growth strategy, what he looks for when he is recruiting advisers and whether or not it's difficult...

Report paints picture of 'typical' adviser

November 5, 2012

The number of investment advisers registered with the Securities and Exchange Commission has declined over the past year, while the assets under management that the agency regulates have increased substantially, according to a study released...

The dream B-D destination of breakaway advisers

October 7, 2012

Independent broker-dealer LPL Financial LLC and regional brokerage Raymond James Financial Inc. top the list of most-desired destinations for potential breakaway financial advisers. A report released last week by Cogent Research LLC found that...

HighTower opens gates for breakaway advisers

September 23, 2012

HighTower Advisors, one of the fastest-growing registered investment adviser aggregator firms in the country, said that it will offer two new paths for financial advisers to make the transition to independence. The HighTower Network will give...

Small firms won't survive — they'll thrive: Fidelity's Oros

August 24, 2012

Bob Oros has been on the job since January 2012 as executive vice president and head of sales and relationship management at Fidelity Institutional Wealth Services. With 13 years spent at Charles Schwab Corp., three years at LPL Financial and...

Another huge win as Dynasty lands $4B breakaway from MSSB

July 9, 2012

Former Morgan Stanley Smith Barney LLC brokers Michael and Patrick Hull have launched a new advisory firm, bluepoint Investment Counsel LLC, based in Madison, Wis. The new firm has affiliated with Dynasty Financial Partners, a service platform...

Wirehouses 'turning their backs' on small producers

June 13, 2012

The stock market may be on the slide, but TD Ameritrade chief executive Fred Tomczyk has some surprising advice for his top advisers. “I would still invest in the U.S.” he said. His reasoning? “I'm seeing more [foreign] shareholders in...

Breakaway brokers cleared for takeoff

May 27, 2012

Observers of the registered investment advisory business say that many of the advisers leaving the larger legacy brokerage firms are doing so at the urging of their clients and former colleagues. “Clients want a purely unconflicted relationship...

Schwab to cut the ribbon on its third franchise office

April 26, 2012

The Charles Schwab Corp. will be opening its third franchised branch office next month, said chief executive Walt Bettinger on Thursday. Schwab opened its first franchise office in December at a location in Nashua, N.H. In March, the brokerage...

Charles Goldman tells indie advisers: 'Wind is at your backs'

March 2, 2012

Independent advisers don't have to be big to be successful, according to Charles Goldman, former head of Schwab Advisor Services and past president of Fidelity Investments. The investor market has a lot of mass-affluent clients, said Mr. Goldman,...

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