Results for "breakaways"

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What’s in a firm name (or rename)?

December 18, 2013

Just as parents may agonize over naming their newborn, financial advisers often labor over what to call their new business. A quarter century ago, Grant Rawdin struggled with what to name the investment advisory firm he was starting out of the...

Industry must draw a line between brokers and financial advisers, TD exec says

December 12, 2013

At a conference in Las Vegas, Skip Schweiss, TD Ameritrade Institutional's managing director of adviser advocacy, told the press Wednesday to stop calling broker-dealer representatives “advisers” in their stories. InvestmentNews asked him...

10 questions to ask before leaving a wirehouse for an RIA - Questions to answer before breaking away

December 4, 2013

Bill Schwartz, an independent adviser who broke away from Merrill Lynch, has considered the pros and cons that a wirehouse adviser must weigh when deciding whether to make the transition to an RIA. He’s pinpointed the key questions advisers...

Gold's luster going from bad to worse

November 22, 2013

Gold analysts are striking a bearish pose now that Fed tapering is back in the conversation. The precious metal heads toward its first annual decline in 13 years The gold picture is brutally illustrated in the ETF space. GDX is now trading 40%...

The startup costs of advisers' going solo

November 22, 2013

When asked by financial advisers if it's too expensive to go out on their own, set up shops and create unique brands, I tell them they will definitely incur costs but they aren't necessarily prohibitive — especially for those with an entrepreneurial...

Morgan Stanley veterans launch firm using Raymond James platform

November 4, 2013

A group of veteran Morgan Stanley managers has broken away from the wirehouse to form a partnership with Raymond James Financial Services Inc. as an equity-ownership wealth advisory firm that will offer succession planning to advisers. The new...

HighTower COO LaMena adds president to title

October 9, 2013

Crowning a series of shake-ups atop one of the nation's fastest-growing associations of investment advisory firms, HighTower Securities LLC announced the appointment of an insider and former wirehouse executive as its new president Tuesday....

Largest wealth group at UBS in San Diego goes independent

October 7, 2013

UBS Financial Services Inc.'s largest wealth management team in San Diego has gone independent. Ajay K. Gupta and two other partners have registered with the Securities and Exchange Commission as Gupta Wealth Management LLC. The team managed...

Janney lands Merrill team with more than $900 million

October 4, 2013

Janney Montgomery Scott LLC has landed a group of former Bank of America Merrill Lynch advisers who manage over $900 million in assets for clients, the regional brokerage announced on Friday. The team, which joins Janney's West Harford, Conn.,...

The three phases of breaking away

October 4, 2013

As a marketer, I love helping advisers launch a new brand and watching it take flight. In our industry, the teams coming out of the wirehouses to form their own independent firms nearly always seem to be exceptional marketers — once they've...

LPL adds firm with $1B in assets

October 3, 2013

LPL Financial LLC has added a firm that manages about $1 billion in corporate-retirement-plan and private-client investment assets to its network, the nation's largest, according to a statement released Thursday by San Diego-based broker-dealer....

RBC Wealth Management adds $200 million team

September 20, 2013

RBC Wealth Management has added a duo of J.P. Morgan Securities LLC advisers with more than $192 million in assets and $1.9 million in production to its office in Providence, R.I., company officials said Friday. The DiChiaro-Bourgault Group...

Ritholtz, Brown launch RIA firm with five advisers

September 16, 2013

Barry Ritholtz and Josh Brown have launched their own independent investment advisory firm, the advisers and media personalities told InvestmentNews on Monday. The firm, which is known as Ritholtz Wealth Management, will launch with five advisers....

Finra board to tackle broker comp rule next week

September 11, 2013

The Financial Industry Regulatory Authority Inc. next week plans to consider a revised proposal that would require brokers to disclose the compensation they receive when switching firms. The item is on the agenda for the Sept. 19 meeting of...

Leitz elected NAPFA national chair

September 4, 2013

The new chairman of the National Association of Personal Financial Advisors wants to make the organization the home for the growing number of advisers who are migrating to the RIA sector. NAPFA announced today that Linda Leitz, co-owner and...

Focus adds $2.2 billion RIA Telemus

August 12, 2013

Focus Financial Partners LLC announced Monday it added Telemus Capital Partners LLC of Southfield, Mich., to its roster of 27 partner firms. Telemus, with $2.2 billion in assets, was founded in 2005 by former UBS AG brokers Gary Ran, Bob Stone...

The Takeaway: Where active managers have an edge

August 5, 2013

Portfolio Wanna stay safe in the bond market?  Stick with the less expensive funds, for starters.  (Morningstar) Ladies and Gentlemen, we've finally found a segment of the market where active managers have an edge...  (Focus on Funds) Piper...

Focus adds Midwest firm to the fold

August 5, 2013

Focus Financial Partners announced today that LaFleur & Godfrey Inc., a $400 million-in-assets advisory firm based in Grand Rapids, Mich., has joined the Focus partnership. LaFleur & Godfrey was founded in 1987 and is led by its two principals,...

FiNet adds hybrid affiliation option for new recruits

August 2, 2013

Wells Fargo Advisors Financial Network LLC, the independent brokerage arm of Wells Fargo & Co., commonly known as FiNet, has quietly begun offering a new hybrid affiliation option for advisers who want their own RIA firms. FiNet recruiters began...

LPL has solid second quarter but recruiting still sluggish

July 31, 2013

LPL Financial LLC today reported a second consecutive quarter of weak recruiting even as its overall financial results for the period topped expectations. The firm has long been a recruiting juggernaut, with a longstanding goal of 400 to 500...

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