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Mason Braswell


Mason Braswell

Mason Braswell writes about all things related to wirehouses and registered investment advisers for InvestmentNews. Since graduating from New York University in 2012, he has been covering the business of financial advice. In his spare time, Mason can be found wandering the street of New York City with his camera. Follow him on Twitter @masonbraswell for updates on wirehouses, RIAs and regulatory issues facing the industry.

Recent Articles

AMG Wealth acquires $6 billion RIA

Jan 27, 2015

The aggregator is taking majority stake in San Francisco-based Baker Street Advisors

Oppenheimer to pay $20M for penny stock violations

Jan 27, 2015

Firm failed to prevent suspicious penny stock trading and pump-and-dump schemes, the SEC and FinCEN said

RBC, City National deal marries bank and brokerage

Jan 23, 2015

The $5.4 billion transaction could have RBC's regional wealth management business looking more like a wirehouse than a regional firm

Dynasty picks up ex-Merrill complex director

Jan 22, 2015

Paul Landaiche will help advisers in Dynasty's network make acquisitions

Accused alts manager Daniel Thibeault says SEC claims 'unsupported' by 'scant facts'

Jan 21, 2015

Disputes evidence and accuses the regulator of 'overly aggressive and unreasonable actions'

James Gorman's profitability goal leans on Morgan Stanley's wealth management unit

Jan 20, 2015

Morgan Stanley can hit 10% return on equity driven in part by better margins in the wealth management group, CEO James Gorman said

Fidelity fined $350,000 in billing snafu

Jan 20, 2015

Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years

10 developments to watch in the independent broker-dealer industry in 2015

Jan 18, 2015

The hottest topics to keep tabs on in the IBD space

Expenses take toll on Merrill Lynch's Q4 earnings

Jan 15, 2015

CEO Brian Moynihan offers vote of confidence that brokerage chief John Thiel is managing expenses

Wells Fargo sees results from financial planning

Jan 14, 2015

Activity drives 5% year-over-year profit rise, despite costly tech investments

More by Mason Braswell »