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Yes, hiring financial advisers is tough

February 2, 2017

If advisory firms and broker-dealers are finding it difficult to find qualified financial advisers, the numbers back them up. A report from job search portal CareerCast.com finds that financial advisory jobs are the second most-difficult jobs...

Banks, credit unions could start buying advisory practices

February 1, 2017

In September, when Salem Five Bank acquired Stumm Financial Services, it set in motion a financial advice model that could become a blueprint for other banks and credit unions, and also represents new distribution for platforms like LPL Financial....

First Republic starts year with a bang

January 31, 2017

First Republic Bank's wealth management group has started 2017 with a bang, recruiting in January two sizable groups of Merrill Lynch advisers with $1.8 billion in client assets. On January 20, First Republic said five Merrill advisers in New...

Bank of America's Merrill Lynch reports a 1% increase in number of financial advisers

January 13, 2017

Merrill Lynch reported a 1% net increase in the number of financial advisers at the firm at the end of 2016, according to this morning's fourth-quarter earnings announcement from Merrill's parent, Bank of America Corp. With the additional 129...

Women advisers not attracting as many assets as male colleagues

January 12, 2017

Female financial advisers are not attracting an equal share of client assets compared with their male colleagues, and the picture looks especially bleak at RIAs, new data show. The number of female financial advisers overall is slowly rising...

Broker-dealers have different views on recruiting over next six months

January 12, 2017

Senior executives at leading independent broker-dealers are split in their assessment of recruiting over the first half of this year, with some expecting a strong start to 2017, while others are not as sanguine. Confusion in the recruiting market...

Why the financial advice industry should focus less on diversity and more on inclusion

December 20, 2016

It doesn't really need to be rehashed because the issue has been talked and written about at great length already, but the financial services industry does, in fact, have a diversity problem. The statistics bear this out. InvestmentNews reported...

Wells Fargo's FiNet snags two Morgan Stanley advisers with $243 million in client assets

December 14, 2016

Wells Fargo Advisors Financial Network, or FiNet, snagged two former Morgan Stanley advisers who opened an independent practice. Tom Fautrel and Paul Carlson joined FiNet this month to open an independent practice, Seventy2 Capital, according...

Morgan Stanley loses $250 million team to Raymond James

December 7, 2016

An independent team of advisers managing more than $250 million in assets has left Morgan Stanley to join Raymond James Financial Inc. The team, based in Chapel Hill, N.C., operates as The Broadview Group, and had annual revenues of more than...

Wells Fargo financial adviser with $350 million in assets skips to Raymond James

November 30, 2016

A longtime Wells Fargo adviser in the Denver area with close to $350 million in client assets, Jarrod E. Biebel, has jumped to Raymond James & Associates Inc. According to Mr. Biebel's BrokerCheck report, he was registered with two separate...

LPL snags $4 billion hybrid from Lincoln Financial Advisors

November 29, 2016

An independent, hybrid advisory firm with about $4 billion in client assets has moved to LPL Financial from Lincoln Financial Advisors. The Waltham, Mass.-based hybrid, Integrated Financial Partners, has 135 financial advisers, according to...

Raymond James recruits three advisers managing $441 million in assets from Merrill Lynch

November 28, 2016

Raymond James recruited three financial advisers in Burlington, Vt., with nearly half a billion dollars in assets under management from Merrill Lynch, the firm announced on Monday. George D. Ewins Jr., Richard J. Kowalski and Theresa Swett managed...

Advisers managing $1.7 billion move to Noyes from Wells Fargo

November 21, 2016

A team of financial advisers managing $1.7 billion in client assets has joined Noyes' wealth management group from Wells Fargo Advisors. Cooke Financial Group, led by advisers John Chris Cooke (who goes by his middle name) and Brian F. Cooke,...

Hybrid adviser managing $650 million in assets moves to LPL Financial from Voya Financial

November 9, 2016

A hybrid advisory firm managing $650 million in assets has joined LPL Financial from Voya Financial Advisors. President and CEO Todd A. Slingerland and 18 advisers at Capital Financial Planning in Albany, N.Y., are joining LPL's broker-dealer...

Advisers managing $300 million join Raymond James from Merrill Lynch

November 8, 2016

A group of advisers that oversees $300 million of client assets has moved to Raymond James Financial Inc. from Bank of America Merrill Lynch. Joseph DiVestea and his associates have become part of the brokerage firm's New York metro complex,...

Two Wells Fargo advisers and one from Edward Jones join Raymond James affiliate Steward Partners

November 7, 2016

Two financial advisers from Wells Fargo and one from Edward Jones managing a total of $500 million of client assets joined Steward Partners Global Advisory, an independent affiliate of Raymond James. Carl Gravina and Liana Poodiack managed $450...

Advisers managing $220 million in assets join Raymond James from UBS

October 25, 2016

Financial advisers managing $220 million in client assets joined Raymond James from UBS Financial Services. Harold 'Mac' MacFarland and Tadd Hicks earned in excess of $1.6 million in annual fees and commission, according to the statement released...

Advisers on the Move, third quarter recap

October 16, 2016

Top-ranked firms by net change in AUM Firm Gained AUM($M) Lost AUM($M) Net change($M) Gained # of teams Lost # of teams Raymond James 9,768 300 9,468 14 1 6 Meridian 2,200 0 2,200 1 0 RBC Wealth Management 1,824 0 1,824 5 0 Stifel Nicolaus &...

Wintrust, broker to pay $1.5 million for raiding BMO Harris customers: Finra

October 12, 2016

Wintrust Wealth Management and broker Neil Moscicki must pay about $1.5 million in damages to BMO Harris Financial Advisors Inc. for seeking to grab a large portion of the firm's clients before Mr. Moscicki quit, according to the Financial Industry...

Advisers take flight from Morgan Stanley

October 12, 2016

Morgan Stanley continued to see defections of advisers during the third quarter, as the broader brokerage industry grappled with a number of significant regulatory and market changes that spurred advisers to look for new firms to call home....

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