Results for "breakaways"

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The Takeaway: Did you buy the dip? Guess who did?

June 25, 2013

Portfolio Last week was the worst S&P 500 drop of 2013. Guess who bought the dip...  (The Reformed Broker) Mark Hulbert: You're all way too optimistic still, the worst is yet to come in this correction.  (MarketWatch) Regional bank stocks...

The Takeaway: Some advice for BlackRock's Larry Fink

June 19, 2013

Portfolio FOMC: No change in rates and barely any change in statement. Here's Neil Irwin's liveblog:  (Washington Post) Tom Brakke has some advice for BlackRock's Larry Fink vis a vis their active manager issues .  (Research Puzzler) The cost...

HighTower signs first adviser to new platform

June 4, 2013

Shaffer Wealth Management has become the first financial advisory firm to join the HighTower Network — a platform that gives breakaway advisers access to the RIA partnership's resources, but allows them to maintain control over their own practices....

J.D. Power: Satisfaction with investment firms up

May 12, 2013

Investor satisfaction with large investment firms continues to inch higher since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and investment performance, a new survey has...

Satisfaction with advisers climbing; RBC, Fidelity lead the pack, J.D. Power says

May 9, 2013

Investor satisfaction with large investment firms continues to inch upward since plummeting in 2009, and the firms with the top scores have clients who are very happy with their financial advisers and their investment performance, a new survey...

Brightscope set to push out adviser fees

April 9, 2013

Brightscope Inc. has begun collecting fee data from advisory firms' ADV forms and plans to begin releasing the information sometime this year, potentially providing the public with a powerful tool to compare advisers' pricing. “If we can help...

Breaking away: $400M Merrill team departs, forms RIA

April 2, 2013

A $400 million Merrill Lynch team, led by James Maher, left last week to form a new advisory firm, Archford Capital Strategies LLC. Based in Swansea, Ill., a suburb of St. Louis, the new firm also has an office in Creve Coeur, Mo. Joining Mr....

HighTower back in the market with big Merrill team addition

February 21, 2013

After a fourth-quarter hiatus from adding new adviser teams, HighTower Advisors LLC is back in the market. The private-equity-backed partnership of advisory practices Tuesday announced the addition of its largest team of advisers in the past...

Breakaway brokers staying put in 2013

February 17, 2013

Jeff Spears, like every other executive hoping to lure wirehouse brokers to the independent channel, was expecting business to pick up for his firm this year. With another year wiped clean from the multiyear retention packages given to thousands...

TD scored big with breakaways in 2012

January 23, 2013

A strong gain in net new assets took TD Ameritrade Institutional over the $200 billion asset level last month. And the unit continues to snag its fair share of breakaway brokers. The gain marks something of a milestone for the custody business...

Top Adviser Q&A: David Hefty

January 16, 2013

David Hefty is the 36-year-old chief executive of Hefty Wealth Partners, based just outside of Fort Wayne, Ind. Hefty gives details about his firm's growth strategy, what he looks for when he is recruiting advisers and whether or not it's difficult...

Report paints picture of 'typical' adviser

November 5, 2012

The number of investment advisers registered with the Securities and Exchange Commission has declined over the past year, while the assets under management that the agency regulates have increased substantially, according to a study released...

The dream B-D destination of breakaway advisers

October 7, 2012

Independent broker-dealer LPL Financial LLC and regional brokerage Raymond James Financial Inc. top the list of most-desired destinations for potential breakaway financial advisers. A report released last week by Cogent Research LLC found that...

HighTower opens gates for breakaway advisers

September 23, 2012

HighTower Advisors, one of the fastest-growing registered investment adviser aggregator firms in the country, said that it will offer two new paths for financial advisers to make the transition to independence. The HighTower Network will give...

Small firms won't survive — they'll thrive: Fidelity's Oros

August 24, 2012

Bob Oros has been on the job since January 2012 as executive vice president and head of sales and relationship management at Fidelity Institutional Wealth Services. With 13 years spent at Charles Schwab Corp., three years at LPL Financial and...

Another huge win as Dynasty lands $4B breakaway from MSSB

July 9, 2012

Former Morgan Stanley Smith Barney LLC brokers Michael and Patrick Hull have launched a new advisory firm, bluepoint Investment Counsel LLC, based in Madison, Wis. The new firm has affiliated with Dynasty Financial Partners, a service platform...

Wirehouses 'turning their backs' on small producers

June 13, 2012

The stock market may be on the slide, but TD Ameritrade chief executive Fred Tomczyk has some surprising advice for his top advisers. “I would still invest in the U.S.” he said. His reasoning? “I'm seeing more [foreign] shareholders in...

Breakaway brokers cleared for takeoff

May 27, 2012

Observers of the registered investment advisory business say that many of the advisers leaving the larger legacy brokerage firms are doing so at the urging of their clients and former colleagues. “Clients want a purely unconflicted relationship...

Schwab to cut the ribbon on its third franchise office

April 26, 2012

The Charles Schwab Corp. will be opening its third franchised branch office next month, said chief executive Walt Bettinger on Thursday. Schwab opened its first franchise office in December at a location in Nashua, N.H. In March, the brokerage...

Charles Goldman tells indie advisers: 'Wind is at your backs'

March 2, 2012

Independent advisers don't have to be big to be successful, according to Charles Goldman, former head of Schwab Advisor Services and past president of Fidelity Investments. The investor market has a lot of mass-affluent clients, said Mr. Goldman,...

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