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Compliance pros should be the biggest winners under Dodd-Frank

August 25, 2011

Compensation for financial services compliance experts has been stagnant over the past few years, but that situation should be improving soon, largely thanks to the Dodd-Frank Act, according to a study by National Regulatory Services. The compliance...

HighTower scores $1B adviser

August 18, 2011

HighTower Advisors LLC has landed Margaret Towle, a high-end investment adviser with Greycourt & Co. Inc. doing business in Seattle and Minneapolis, despite market volatility that tends to keep advisers put. Ms. Towle, who manages in excess...

Investors Capital will subsidize FSI memberships for its advisers

August 12, 2011

The Financial Services Institute, the lobbying organization for independent broker-dealers, said Friday that it had picked up the support of advisers this week from sizable independent broker-dealer Investors Capital Corp. On Monday, LPL Financial...

Two top Securities America advisers bolt for rival LPL Financial

August 10, 2011

Two of Securities America Inc.'s top advisers, including the head of its largest financial adviser group, walked out the door this week to join rival LPL Financial LLC. Donald Patrick, president of Integrated Financial Group of Atlanta, joined...

Jobs to the rescue? Treasury yields rise from lows as economic concern eases

August 5, 2011

Treasuries tumbled, pushing up yields up from the lowest this year, after data showed the U.S. jobs market gained traction in July, easing concern the economic recovery is stalling. U.S. two-year note yields increased from a record low yesterday...

Former A.G. Edwards execs are out at Wells Fargo

August 5, 2011

Several former long-time executives of A.G. Edwards & Sons Inc. are no longer with Wells Fargo Advisors LLC, InvestmentNews has learned. Peter Miller, president of the advisor development group at Wells Fargo & Co., Michael Scafati, a senior...

Bank of America Merrill Lynch still on hiring roll

August 2, 2011

Bank of America Merrill Lynch has announced the hiring of six new financial advisers late yesterday, after a pair of private bankers managing more than $1 billion in assets moved their practice to independent registered investment adviser shop...

Ron Carson announces adviser hire for new RIA

July 20, 2011

Ron Carson has announced his first pickup, well-known veteran investment adviser Rob Isbitts, to become the chief investment officer for his new RIA, CWM LLC, which was launched July 1. Mr. Isbitts co-founded Emerald Asset Advisors LLC in 1998....

Revolving-door study of SEC cites ethics-advice record

July 13, 2011

U.S. Securities and Exchange Commission employees who leave the regulator for work with private companies often find positions with firms most heavily involved with the agency, the Government Accountability Office said. More than a third of...

Top advisers with $68B in client assets jumped ship in 2010

December 15, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. A fair amount of advisers were also lured by big bucks, recruiters and industry experts noted....

U.S. Trust loses $5.9B adviser to new wealth venture

December 6, 2010

Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms. Michael C. Brown, 52,...

Tips from top RIAs: Jon Yankee

December 2, 2010

The InvestmentNews Research Team: recently completed a successful series of workshops based on the results from the InvestmentNews/Moss Adams Financial Performance Study of Advisory Firms. Learn some key business management tips from top-performing...

Investment industry jobs make a comeback

November 14, 2010

Hiring in the asset management business rebounded in 2010 after two sluggish years, but active-domestic-equity managers are on the outs, according to a recent report by executive recruiting firm Russell Reynolds Associates Inc. Russell Reynolds'...

Wall Street edging back to hiring mode

November 14, 2010

Signs are emerging that Wall Street is looking to staff up after a long, painful purge. This month, Job Expo International held its first financial job fair in two years. More than 300 people paid the $10 admission to line up in the basement...

As rents plunge, advisory firms snap up bigger, better digs

August 12, 2010

For the first time in years, Judith Bedell and Mike Frazier got to call the shots when they negotiated a new lease for their advisory business in Walnut Creek, Calif. They convinced their landlord to lease them the prime spot on the top floor...

HighTower adds adviser recruiters from Fidelity, UBS

April 21, 2010

HighTower Advisors LLC, a dually-registered firm that has been successful in luring talent from wirehouses, today announced that it is furthering its expansion efforts by hiring two recruiters who will focus on the Midwest and Western regions...

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