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Duo managing $330 million moves to Raymond James from Wells Fargo

December 5, 2019

Todd Hamilton and Robert Thompson, who managed $330 million at Wells Fargo Advisors in Chicago, have moved to the employee unit of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Mr. Hamilton...

Schwab, Wells Fargo and Edward Jones praised for mobile apps

December 3, 2019

Some wealth management firms are figuring out how to build apps that resonate with retail investors and the effort is paying off, according to a new study by J.D. Power. Apps from Charles Schwab, Wells Fargo and Edward Jones all earned high...

UBS hires 9 reps managing $1.6 billion

November 18, 2019

UBS has recruited nine advisers managing a total of $1.6 billion. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Accounting for most of the new assets that may be coming to the firm is a three-adviser team...

Wells Fargo team managing $325 million moves to Raymond James

November 15, 2019

James Alioto and Florence Alioto-Prospero, a father-daughter team managing $325 million at Wells Fargo Advisors in Waukesha, Wis., have joined the employee unit of Raymond James. [More:​ See more adviser moves in InvestmentNews' Advisers on...

Is massive consolidation in the 401(k) record-keeping industry inevitable?

November 9, 2019

The conventional wisdom is that the 401(k) record-keeping industry is going to go through massive consolidation due to increased costs and reduced margins. But at the 2019 Retirement Plan Adviser Record Keeper Roundtable and Thinktank, senior...

Ken Fisher has a big bet on a risky corner of Wall Street

November 8, 2019

Billionaire Ken Fisher made his name and fortune picking stocks. But over the years he's also become a huge player in an arcane — and controversial — corner of Wall Street: exchange-traded notes. With little fanfare, his Fisher Investments...

Wells Fargo adviser managing $300 million sets up RIA

November 7, 2019

David Mattern, who managed $300 million at Wells Fargo Advisors, has launched Mattern Wealth Management, a registered investment adviser, in Lawrence, Kan. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] He...

Robos built for advisers struggling to gain traction

October 30, 2019

Financial advisers are not embracing automated portfolio management. Just a few years ago, when direct-to-consumer startups Betterment and Wealthfront were growing assets at a meteoric rate, a new model rose to meet it — the robo for advisers....

T3 Enterprise conference: Race to zero a popular topic

October 29, 2019

One of the biggest themes of the 2019 T3 Enterprise conference, which caters to technology decision makers at banks, broker-dealers and adviser networks, wasn't even about technology. An undercurrent at many of the panel discussions was the...

LPL, Raymond James led gains in adviser headcount last quarter

October 29, 2019

Two large independent broker-dealers racked up strong recruiting gains in the third quarter, while all four wirehouses lost advisers on a net basis in the period. LPL Financial, the nation's largest IBD, had a net gain of 94 advisers, while...

Stifel team managing $800 million moves to Wells Fargo

October 25, 2019

Manuel "Manne" Palan, Pamela A. Glaser and Danny Shoshnik, who managed $800 million at Stifel Nicolaus, have moved to Wells Fargo Advisors. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] The advisers, who...

Juncture Wealth Strategies team joining Integrated Partners

October 23, 2019

A team of advisers from Juncture Wealth Strategies with $200 million in assets under management has joined Integrated Partners. Rob Sandrew, head of adviser recruiting for Integrated Partners, said the advisers are unwinding their Scottsdale,...

Three Wells Fargo reps managing $150 million move to Raymond James

October 22, 2019

Roper Fields, Thomas Fields and B.V. Lawson, who managed $150 million at Wells Fargo Advisors, have joined the employee unit of Raymond James in Cool Springs, Tenn. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Wells Fargo trio managing $225 million moves to RIA

October 22, 2019

Bratton DuBose, Daniel Bettencourt and Rebecca Dammann, who managed $225 million at Wells Fargo Advisors in Bozeman, Mont., have opened an office there for Ashton Thomas Private Wealth, an RIA firm based in Scottsdale, Ariz. [More: See more...

Trio managing $380 million at Wells Fargo joins Janney

October 21, 2019

Advisers Christopher Ozazewski, Elizabeth Plunkett and Eric Decker, who managed $380 million at Wells Fargo Advisors, have joined Janney Montgomery Scott in Bel Air, Md. [More: See more adviser moves in InvestmentNews' Advisers on the Move database.]...

Much expected of Charlie Scharf as he prepares to take helm of Wells Fargo

October 21, 2019

Wells Fargo & Co.'s long-awaited next leader, Charlie Scharf, is formally taking over Monday with a fairly straightforward mandate: Finish what three predecessors couldn't. [More:​ Makeover at Wells Fargo Advisors well-received] The bank's...

Firms advance culture that supports differences

October 17, 2019

At its second annual Excellence in Diversity & Inclusion Awards event, InvestmentNews recognized financial advice industry firms that are advancing diversity and inclusion within their own firms and around the profession. [More: The Excellence...

Wells Fargo reps managing $280 million move to Stifel

October 15, 2019

Four registered representatives who collectively managed $280 million at Wells Fargo Advisors have moved to Stifel Nicolaus & Co. in the Southeast. [More:​ See more adviser moves in InvestmentNews' Advisers on the Move database.] Jason Jungberg...

Head count at Wells Fargo Advisors slips, but exits continue to slow

October 15, 2019

Wells Fargo Advisors is continuing to see churn in its broker and adviser workforce, but — after three years of watching advisers leave the firm in the wake of banking scandals — the pace continues to slow down. In the earnings report Tuesday...

Wells Fargo takes $1.6B legal charge, dragging 3Q earnings down

October 15, 2019

Wells Fargo & Co. investors got a reminder that the bank isn't past its problems even as it seeks a fresh start under a new leader. The lender took a $1.6 billion expense for litigation tied to scandals in its retail bank, dragging down third-quarter...

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