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United Capital moving up the food chain, buys $1.6B RIA

January 13, 2011

United Capital Financial Partners Inc. is acquiring Zirkin-Cutler Investments Inc., a $1.6 billion registered investment advisory firm owned by M&T Bank Corp. The firm plans to announce two additional acquisitions tomorrow and yet another one...

Firms declare war on deadbeat brokers

December 19, 2010

An increasing number of brokers appear to be skipping out on paying back what they owe on promissory notes. Note cases filed at Finra have surged, more than doubling over the past two years. Year-to-date through Dec. 12, 1,087 such cases had...

Billions in client assets on the move

December 19, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. Many were also lured by big bucks, according to recruiters and industry experts. At least 206...

Top advisers with $68B in client assets jumped ship in 2010

December 15, 2010

Hundreds of financial advisers switched firms this year, many looking for opportunities to build equity in themselves and some exiting after mergers. A fair amount of advisers were also lured by big bucks, recruiters and industry experts noted....

U.S. Trust loses $5.9B adviser to new wealth venture

December 6, 2010

Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms. Michael C. Brown, 52,...

U.S. Capital picks up more high-producing UBS reps

December 3, 2010

U.S. Capital Advisors LLC has picked up a $600 million team from UBS Financial Services Inc. — the second high-producing team the firm has picked up from UBS in the last six weeks. Partners David Harris and Ann Deaton joined Houston-based...

Tips from top RIAs: Jon Yankee

December 2, 2010

The InvestmentNews Research Team: recently completed a successful series of workshops based on the results from the InvestmentNews/Moss Adams Financial Performance Study of Advisory Firms. Learn some key business management tips from top-performing...

A headhunter's dinner with three unhappy advisers, Part 4

December 1, 2010

A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms. Having trained together many years ago at the same wirehouse, they have stayed...

Fidelity targeting ‘top 200' wirehouse teams, exec says

November 19, 2010

As Fidelity continues to focus on luring breakaway brokers, a top executive at the firm noted specifically that the company is zeroing in on the very top-producing teams at wirehouses. “We haven't made deep inroads into the top 200 teams"...

A headhunter's dinner with three unhappy advisers, Part 3

November 18, 2010

Of the three buddies (Wirehouse Adviser, Regional Firm Broker, Boutique Adviser) who are sitting with me this night for dinner, only one of the them is still at the same firm that they all started with together fifteen years ago: Wirehouse Adviser:...

Incite: No news is bad news for women at brokerages

November 15, 2010

If you're curious about how important workplace diversity is to Wall Street, consider the commotion that ensues when it's time to roll out the red carpet and honor the industry's inclusion luminaries. At the annual meeting of the Securities...

Wall Street edging back to hiring mode

November 14, 2010

Signs are emerging that Wall Street is looking to staff up after a long, painful purge. This month, Job Expo International held its first financial job fair in two years. More than 300 people paid the $10 admission to line up in the basement...

Hiring remains slow even as economy picks up

November 9, 2010

Companies are still hesitating to ramp up hiring, even as more evidence emerges that the economy is slowly improving. Employers posted fewer job vacancies in September than the previous month, the second month of declines, according to a report...

A headunter's dinner with three unhappy advisers, Part 2

November 4, 2010

“There is no simple or perfect solution. And the best place for one of you will not necessarily be the best place for all of you.” I'm sitting with three solid advisers. They care passionately about their practices, their clients, their...

Reps looking to bail on besieged B-D: Recruiter

November 1, 2010

Representatives and advisers at Brewer Financial, a Chicago-based independent broker-dealer, are said to be looking to jump ship after the Securities and Exchange Commission charged the firm and its top two executives with fraud in selling $5.6...

Eyeing a career move? What you need to know

October 31, 2010

Advisers continue to be on the move as the industry consolidates and repositions itself for a new era. While many advisers are choosing independence, more are making the less daunting move to another firm within the same channel. Some advisers...

My dinner with three unhappy advisers, Part 1

October 28, 2010

I had dinner in Manhattan recently with three advisers, all friends, who are now at three different firms. All three are at or close to the million dollar level. One of them was a long time contact of mine and he introduced me to the others....

Wirehouse recruiting remains sluggish

October 24, 2010

Sluggish recruiting and the continued slow migration of advisers to smaller firms has left the three biggest wirehouses either adding minimally to the work force or watching the head count drop. Merrill Lynch Global Wealth Management, a unit...

Brokerages ranked by adviser satisfaction - 6. Morgan Stanley Smith Barney

October 22, 2010

Adviser satisfaction rating: 626 Average industry rating: 683 Photo credit: Bloomberg

Merrill Lynch added 198 advisers, saw production levels rise in 3Q

October 19, 2010

While Bank of America Corp. reported a $7.3 billion loss for the third quarter, the behemoth banking institution's financial advisers saw some improvement in their business in that time. Financial advisers at BofA's Merrill Lynch Global Wealth...

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