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Nationwide Securities loses hybrid team to LPL

April 26, 2017

Lighthouse Wealth Advisors, a hybrid advisory firm in Charleston, S.C., has affiliated with LPL Financial's broker-dealer and registered investment adviser platforms. At its previous firm, Nationwide Securities, the group managed $178 million...

No slow down in recruiting at Raymond James as advisers prepare for DOL fiduciary rule

April 26, 2017

Coming off its best recruiting year ever, Raymond James Financial Services Inc. is playing host to a record number of potential recruits this week at its annual meeting, Elevate, in Orlando, Fla. The firm is hosting 86 advisers who are thinking...

Morgan Stanley snags national sales director Jeffrey Tucker from Merrill Lynch

April 25, 2017

Morgan Stanley has recruited Jeffrey Tucker from cross-town rival Merrill Lynch as its new national sales manager. Mr. Tucker is a financial services industry veteran who most recently held a regional director role of metro New York at Merrill....

UBS, Merrill Lynch advisers form $500 million RIA team

April 24, 2017

Three brokers from UBS Financial Services and one from Merrill Lynch in Colorado Springs, Colo., have formed Resolute Investment Advisors and affiliated with HighTower. The firm's principals — Todd Baker, Bradley S. Harvey and Jack T. York,...

Merrill Lynch team managing $400 million moves to Raymond James

April 19, 2017

A three-person team that managed $400 million in assets at Merrill Lynch in Greensboro, N.C., has formed an advisory firm and affiliated with the independent broker-dealer arm of Raymond James. David C. Anderson and George L. Hall II, along...

Wells Fargo loses $230M team to Raymond James

April 13, 2017

Four advisers and their five-person staff in Charlotte, N.C., have switched affiliations from Wells Fargo Financial Network to Raymond James Financial Services. Cygnus Asset Management, which advises on $230 million in assets, is led by Lisa...

6 reasons culture breaks down at an advisory firm

April 12, 2017

The culture of a firm is what makes clients and employees want to join and stay, but business growth and some other factors can threaten even the strongest firm culture, said Ben Harrison, head of business development and relationship management...

Merrill Lynch plans to hire more young advisers

April 10, 2017

The "thundering herd" is looking to add more thunder, according to Andrew Sieg, head of Merrill Lynch Wealth Management. Speaking to the Securities Industry and Financial Markets Association's Private Client Conference in Arizona last week,...

Raymond James' Alex Brown unit loses team to SunTrust

April 4, 2017

Two veteran brokers most recently with the Alex Brown division of Raymond James have moved to SunTrust Private Wealth Management in Atlanta. Joining Todd Ryman and Will Rhodes at their new firm is Luke Bennett, most recently a partner with Salvus...

LPL loses $200M team to HighTower St. Louis

March 27, 2017

Rogers & Co. Wealth Management, a seven-person firm in St. Louis managing $200 million in assets, has merged with HighTower St. Louis, which was known as Archer Wealth Management until it was acquired by HighTower last year. The combined firm...

Merrill Lynch woos $343 million Morgan Stanley team

March 23, 2017

A four-person adviser team that managed $343 million in assets at Morgan Stanley has joined Merrill Lynch in Glen Rock, N.J. Advisers Michael Greenstone, John Araneo, Margie Manning and Anita Srivastava, as well as associate Dara Hubbard, have...

Raymond James picks up $112 million team from Morgan Stanley

March 22, 2017

Two women advisers with Morgan Stanley in Gainesville, Fla., have left the firm where they managed $112 million in client assets to join Raymond James. Ashley Banks and Donna Carroll, who operate as the Banks Carroll Group, are joining Raymond...

Wells Fargo loses employee broker duo to Raymond James ​

March 20, 2017

A two-person team at Wells Fargo Advisors that managed $138 million in client assets has joined Raymond James & Associates, the firm's traditional employee channel, in Ashburn, Va. Sam Kim and financial planner Scott Mann operate as Kim Wealth...

LPL spent big on recruiting in 2016

March 17, 2017

After reporting that 2016 was its best recruiting year ever, adding 323 net financial advisers, LPL Financial is now revealing that it paid handsomely for those recruits. As of the end of last year, LPL had a forgivable loan balance of $136.7...

Hall of famer Mike Piazza's 'distant cousin' leaves Merrill Lynch for Raymond James

March 15, 2017

An adviser related to a recent inductee into the National Baseball Hall of Fame, who shares the player's name and even played for the minors, has left Merrill Lynch for Raymond James. Mike Piazza, a "distant cousin" of his namesake, the former...

Wells Fargo loses a $500M team to Ameriprise ​

March 14, 2017

A four-person advisory team has left Wells Fargo Advisors and joined Ameriprise in Charleston, S.C. Donald Alderman, Robert Holt, Jamie O'Brien and Scott Laney, who together managed $500 million in assets, have joined Ameriprise's employee channel....

Merrill Lynch pair with $200M in AUM move to HighTower

March 13, 2017

Two former Merrill Lynch advisers, Jim Ewing and Michael Cona, have formed Ewing/Cona Wealth Management and affiliated with HighTower Advisors. The team, which managed nearly $200 million in assets at Merrill Lynch, is based in Marlton, N.J.,...

The bull market for wirehouse recruiting deals is over. What will happen next?

March 10, 2017

For years, wirehouse executives privately complained about the high cost of recruiting experienced advisers. Yet the transition packages, commonly called "up-front money," only became more and more lucrative. Shrewd advisers would often play...

Cetera adds $1B bank wealth platform

March 9, 2017

American Savings Bank, based in Honolulu, is moving its wealth management program to the broker-dealer unit of Cetera Financial Group that specializes in banks and credit unions. With approximately $6.1 billion in assets and 51 branches across...

Raymond James recruits $138M Merrill Lynch team

March 9, 2017

A team that managed $138 million in client assets while at Merrill Lynch has left the wirehouse for Raymond James, the regional firm said. Patricia Bennett and two associates have joined the Louisville, Ky., office of Raymond James & Associates,...

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