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Raymond James, Stifel pick up wirehouse advisers

December 11, 2017

Morgan Stanley loses $145 million rep to Raymond James in Chicago Mr. Dow began his financial services career with Smith Barney in 1997 and remained with its successor firms until joining Raymond James. He joined with his associate, Laura Sanchez....

As firms pull out of protocol agreement, wirehouse brokers show more interest in breaking away: execs

December 8, 2017

As the broker protocol recruiting agreement increasingly becomes endangered, more wirehouse brokers are making inquiries about becoming independent advisers, according to industry executives with knowledge of such activity. Firms such as Dynasty...

Hybrid firm managing $900 million switches affiliation to Triad Advisors

December 7, 2017

Continuum Advisory, an independent hybrid firm managing approximately $900 million in total advisory and brokerage client assets, has ended its affiliation with Signator Investors and affiliated with Triad Advisors. Based in Pleasanton, Calif.,...

LPL signs $530 million NPH-firm, Fross & Fross Wealth Management

December 7, 2017

LPL Financial has retained Fross & Fross Wealth Management, a $530 million firm previously affiliated with SII Investments, a subsidiary of National Planning Holdings. Fross & Fross, located in the The Villages, Fla., is the latest firm to choose...

UBS loses $228 million team to TRUE Private Wealth Advisors

December 5, 2017

Two advisers who managed $228 million at UBS in Portland, Ore., have left the firm and joined TRUE Private Wealth Advisors, which is based in Portland and Salem, Ore. The combination has the potential to bring TRUE's assets under management...

Merrill Lynch to remain in the broker protocol for recruiting agreement

December 4, 2017

In a move contrary to its fiercest competitors, Merrill Lynch will remain in the broker protocol for recruiting agreement. Merrill's head of wealth management, Andy Sieg, made that intention clear on a call with senior management Monday morning,...

Merrill likely next big firm to dump broker recruiting protocol

November 29, 2017

Securities industry recruiters believe that Merrill Lynch will be the next wirehouse to drop the broker protocol for recruiting, as working under the agreement allows Merrill's Thundering Herd too much leeway to take off for greener pastures....

What really deters women from staying in the financial advice profession

November 20, 2017

Over the past few years I've had the pleasure of speaking at a few universities that boast some of the top certified financial planner programs in the country. What always surprises me is that the room is usually split pretty evenly among men...

Many women have had to work extra hard to earn credibility in financial services

November 20, 2017

Leaders in the financial services industry and state government were virtually all men when I began my career over four decades ago. As I reflect on my career, I recognize several lessons I had to learn to smash through certain barriers. Some...

Women can help themselves and other women in financial advice

November 20, 2017

No question, there is a need for more women in the financial adviser field, given their distinctive capabilities and the changing client demographics. And change in the industry is definitely underway. Yet many firms still haven't achieved a...

Adviser recruiting may need new tack for women

November 20, 2017

Independent registered investment advisers may need to rethink how they are recruiting female advisers if they expect to continue growing over the long term. In "2016 U.S. Advisor Metrics," Cerulli Associates reported that women make up 16%...

Schwab study: Firms want people skills more than analytical prowess

November 15, 2017

For entry-level employees at advisory firms, the human touch is much more important than number-crunching skills, according to this year's Schwab Independent Advisor Outlook Study, whose findings were released this week in tandem with the annual...

LPL's recruiting of top advisers falls for third straight quarter

November 15, 2017

Recruiting large advisers, individuals or groups with more than $100 million or greater in assets has fallen off a cliff this year at LPL Financial. According to data publicly reported by the company, LPL has seen a sharp decline each quarter...

Firms explore ways to bolster the number of female financial advisers

November 14, 2017

Boosting the number of women in the financial advice business to a level that more equally represents the population may require firms make changes related to hiring, compensation, training and other areas. It also will require getting more...

RBC Wealth Management on recruiting roll

November 14, 2017

RBC Wealth Management is on a recruiting tear in 2017, as its recruiting bonus remains one of the most attractive on Wall Street, according to industry sources. According to data compiled by InvestmentNews, RBC Wealth Management successfully...

Philip Palaveev on how firms should be recruiting young talent

November 7, 2017

There's a lot more to succession planning than just hiring younger advisers, but some registered investment advisers aren't even doing that part right. Philip Palaveev, founder and chief executive of The Ensemble Practice, describes why it's...

Finra: Morgan Stanley must pay Schwab $1.2 million over broker recruiting violation

November 3, 2017

A Finra arbitration panel awarded $1.2 million to Charles Schwab & Co. Inc. in a case against Morgan Stanley Smith Barney involving the recruitment of a Schwab broker. In a Nov. 2 award, the arbitrators found that Morgan Stanley violated the...

Two more NPH firms spurn LPL, affiliate with Woodbury Financial

November 1, 2017

Two firms affiliated with National Planning Holdings have changed their affiliation to Woodbury Financial Services, a unit of the Advisor Group. The Tenacity Advisory Group, a 52-adviser Super OSJ managing $2 billion in assets, has changed its...

Morgan Stanley is waving the white flag on recruiting

October 31, 2017

Morgan Stanley announced on Monday that it is leaving the Protocol for Broker Recruiting. This should not surprise anybody who has been paying attention for the last year. Almost exactly a year ago, Morgan Stanley cut its recruiting deals in...

Morgan Stanley dumps broker recruiting protocol

October 30, 2017

Morgan Stanley's decision to leave an industry agreement known as the protocol for broker recruiting is an indication that the firm is working harder than ever to prevent its brokers from jumping ship, industry sources said. One reason for that...

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