Results for "breakaways"

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Raymond James recruits $300M Morgan Stanley team

December 19, 2014

Raymond James has snagged a $300 million team from Morgan Stanley Wealth Management. Craig A. Houck and Richard L. Schooley Jr. will join Raymond James' independent channel, operating as Dogwood Wealth Advisors, with offices in Atlanta and Savannah,...

No summer break for SEC as agency revs up exam pace

August 26, 2014

Securities and Exchange Commission examiners haven't slowed down during the dog days of summer, according to compliance consultants who attribute the uptick in the SEC exam pace to the agency's focus on registered investment advisers who have...

HighTower adds $400 million RIA to partnership

July 28, 2014

HighTower Advisors has picked up a $400 million registered investment adviser as the firm doubles down on recruitment and begins deploying funds from a $100 million credit line it secured this month. The firm deployed some of its recent capital...

LPL affiliate Private Advisor Group launches new plan to attract wirehouse brokers who may want to go RIA

January 10, 2019

LPL Financial's largest affiliate, Private Advisor Group of Morristown, N.J., is launching a new platform its partners believe will give it the ability to attract wirehouse brokers who want to transition to the RIA channnel. Private Advisor...

TD Ameritrade, Schwab put third-party exams on lawmakers' radar

June 13, 2014

Congress doesn't have a direct role in determining whether the Securities and Exchange Commission will require investment advisers to use private-sector firms for compliance examinations, but industry officials are making sure lawmakers are...

What advisers can expect from an SEC exam

March 13, 2016

Congratulations, you're one of the 10% of investment advisers the Securities and Exchange Commission is planning to examine this year. Here's what you can expect over the next couple of months, or — if you're on the less fortunate end of the...

SEC takes steps to avoid Madoff sequel

February 7, 2016

Perhaps it was appropriate that the same week a two-part television series aired on the Bernie Madoff scandal, the Securities and Exchange Commission leaked a story that it was increasing the number of RIA examiners by 20%. After all, one of...

$1B Colorado-based RIA merges with $250M firm

January 19, 2016

Registered investment advisory firm Sargent Bickham Lagudis, with $1 billion in assets under management, announced Wednesday that it has merged with Colorado Financial Management, a firm that manages $250 million. “What we hope is that we...

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...

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 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...

Securities America, NorthStar Financial unveil RIA

July 19, 2013

Securities America Inc. and NorthStar Financial Services Group LLC have officially rolled out a jointly owned RIA firm designed for use by midsize hybrid advisers. The new RIA firm, Arbor Point Advisors LLC, will serve as a corporate RIA for...

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...

Custodians try to entice breakaways with substantial perks

August 9, 2015

As larger teams move into the registered investment adviser channel, the major custodians are getting more creative and adding some sweeteners to entice big breakaway outfits. Looking to differentiate themselves by more than just their ability...

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...

InvestmentNews Research, BlackRock launch new study of “Elite” RIAs

May 28, 2015

New York, May 28, 2015 – With the business of providing financial advice fast evolving – presenting advisers with new service opportunities as well as urgent practice challenges – InvestmentNews Research, in partnership with BlackRock...

United Capital acquires $320 million AUM adviser

October 23, 2014

After embarking on a more aggressive, national growth strategy in August, United Capital has acquired a registered investment adviser with $320 million in client assets. The firm said Thursday it picked up Valley Wealth Inc., a Modesto, Calif.-based...

RIA M&A sets another record in 2018

January 14, 2019

The financial market volatility that picked up in earnest last year was not enough to derail the pace of consolidation among registered investment advisers. Echelon Partners reported Monday that merger and acquisition activity in the RIA space...

Top advisers break away for chance to own equity

October 9, 2014

With the financial crisis fading further into the background, advisers are once again looking for the ability to own equity in their firms, this time at independents. Equity-based compensation has taken off in the six years since the crisis,...

Focus adds $800 million Atlanta adviser

October 6, 2014

Focus Financial Partners continues to add to its deck of wealth managers, announcing Monday the addition of an Atlanta financial advice firm managing more than $800 million to its network. In a statement, Focus said it had taken a stake in Gratus...

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