Results for "breakaways"

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United Capital adds RBC vet, seeks organic growth

August 20, 2014

United Capital Financial Advisers, an aggregator of registered investment advisors, is gearing for more aggressive growth as the firm continues to capitalize on consolidation in the RIA space, according to founder and chief executive Joe Duran....

RIA slapped with $15 million fine; founder barred

August 7, 2014

A registered investment adviser, J.S. Oliver Capital Management, and two financial advisers were ordered to pay nearly $20 million for an alleged cherry-picking scheme that defrauded several clients out of about $10.9 million, according to an...

HighTower nabs top FiNet recruiter

July 22, 2014

HighTower Advisors, a hybrid broker-dealer and investment adviser, has snapped up a top recruiter from Wells Fargo & Co.'s independent brokerage unit, Wells Fargo Advisors Financial Network. Kimberly Hollenbeck, who sources said brought in advisers...

Republicans reject SEC user-fee amendment to appropriations bill

July 15, 2014

House Republicans shot down an attempt by Rep. Maxine Waters, D-Calif., to amend a spending bill with legislation designed to increase the number of investment-adviser exams the Securities and Exchange Commission performs. In debate on Monday...

$650M broker team breaks away from Morgan Stanley

July 15, 2014

Craig Stuvland, former president of Common Sense Investment Management LLC, lured four Morgan Stanley brokers with $650 million in client assets to a new firm that supports independent financial advisers. The team left Morgan Stanley's Portland...

Adviser lessons from Dr. Dre: Long-term greedy vs. short-term greedy

July 8, 2014

Even if you aren't a fan of his music, how can you not be impressed by Andre “Dr. Dre” Young, the intrepid rapper and impresario who helped build and sell the headphone and music streaming service Beats Electronics to Apple Inc. recently?...

Why the client segmentation model is outdated and should be replaced

April 2, 2014

I spend a lot of time consulting with advisers on things that they do on public display. Everything I counsel them on keeps things framed from the clients' perspective. Before you write a single word of marketing copy, utter one syllable on...

Top lessons learned during a breakaway transition

October 30, 2018

More than two years ago, our team began to explore whether the registered investment adviser platform was better for us than the independent broker-dealer world we were in. Although business was good, we felt it would be beneficial to learn...

Exclusive: HighTower launches fee-for-service platform

March 12, 2014

HighTower plans to launch a fee-for-service platform for independent wealth managers on Wednesday after signing its first client, an advisory firm that is looking to emulate the aggregator's trademark partnership model. Gavion Investment Counseling,...

Bank executives adopting the RIA model as they build wealth units, Fidelity study finds

March 5, 2014

If it walks like an RIA, and talks like an RIA, it may be a bank. Bank executives are adopting the model of registered investment advisers as they build their wealth management units, but they don't yet see those firms as their biggest competitors....

Steward Partners adds consulting unit

February 20, 2014

A new Raymond James-backed firm launched by wirehouse exiles is building a consulting unit. Steward Partners Holdings acquired the practice of a New York-based recruiter with roots in management at Morgan Stanley, Steward Partners annnounced...

Hearsay Social adds RBC to its client list

February 14, 2014

A startup firm looking to improve financial services firms' social-media presence is integrating more with social-media platforms, as well as the broker-dealer industry. Hearsay Social Inc. has collaborated with LinkedIn Corp. to streamline...

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...

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: 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...

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...

Sanctuary Wealth Partners rolls out red carpet for breakaway brokers

October 1, 2018

Sanctuary Wealth Partners has signed its fifth advisory team in as many months, bringing its total assets under to management to $5.5 billion. The Indianapolis-based hybrid RIA announced Monday the addition of RiceBarrett Family Wealth, a $240...

Chief operating officers lift advisory firms to the next level

November 2, 2018

If you're not sure whether your advisory firm is ready to hire a chief operating officer, it probably is. While COOs are often dismissed as simply an added expense, adding one can be a key ingredient in helping a firm grow to the next level,...

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