Results for "staffing / personnel"

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Merrill Lynch names new head of alts group

October 19, 2012

Bank of America Merrill Lynch has named a new head of its Alternative Investments Group, as demand from its advisers for alternatives is expected to double assets over the next three to five years. Keith Glenfield, former chief operating officer...

CFP Board launches ads on NPR

October 1, 2012

National Public Radio listeners are hearing an advertisement that encourages them to turn to a financial planner for guidance on their investments. The NPR ad campaign, which began Monday and runs through mid-November, is the latest phase of...

Brits consider recruitment code like U.S. version

September 28, 2012

The British financial services industry is considering development of a recruitment protocol similar to the pact used in the U.S. Members of Britain's Tax Incentivised Savings Association (TISA) met Sept. 20 to begin work on a British version...

Merrill poaches MSSB insurance exec

September 24, 2012

Bank of America Merrill Lynch has snagged an executive from Morgan Stanley Smith Barney LLC to run its insurance and annuities business. Michael Maghini joined Morgan Stanley in 2006 after working for Smith Barney and its merger partners for...

Securities industry urges California's Brown to nix social-media law

September 17, 2012

California could be the latest state to ban employer access to employee's pages on social-media sites — a prospect that has the investment industry worried about limits on oversight. The bill, passed by the California Legislature last month,...

RIAs: Potential buyers want scale to do sale

September 14, 2012

Advisers expecting a white knight to reward them for the time and effort they've spent building their practice when they're ready to retire could be sorely disappointed. While many solo advisers might be happy treating their business as an annuity...

Ex-Jet Chrebet bolts Morgan Stanley, joins Barclays

September 5, 2012

Barclays Plc recruited a team for its wealth and investment management division from Morgan Stanley Smith Barney that includes former New York Jets wide receiver Wayne Chrebet. Edward Moldaver, who leads the New York-based group, was named managing...

Vanguard's Sauter set to retire

June 22, 2012

The Vanguard Group Inc. announced Friday that chief investment officer Gus Sauter, 57, is set to retire at the end of the year. Mortimer J. “Tim” Buckley, managing director of Vanguard's retail-investor group, will succeed him. “Under...

Longtime MSSB veteran Hatch is exiting

June 10, 2012

Paul Hatch, head of investment strategy and client solutions at Morgan Stanley Smith Barney LLC, is leaving the firm “to pursue new entrepreneurial passions.” MSSB president Gregory Fleming announced the news to employees in a memorandum...

Invesco Limited shakes up its distribution team

June 10, 2012

Invesco Ltd. is reorganizing its U.S. retail distribution team to make it more effective. The mutual fund firm is combining its U.S. retail-sales group with its marketing, product management and global exchange-traded-fund groups “to help ensure...

Wirehouse pay approaching parity with indie advisers': Study

June 5, 2012

Yet another reason for wirehouse brokers to think about going independent: the compensation incentives just aren't there anymore. This year, average compensation for elite brokers at wirehouses — exclusive of their recruiting bonus — is...

E.F. Hutton reaches into alumni ranks for director

May 30, 2012

E.F. Hutton Group, the long-dormant brokerage firm that recently announced its relaunch, announced today that Jamie Price has joined its board of directors. Mr. Price, 52, will be a member of the board of the holding company and of E.F. Hutton...

LPL taps new human capital officer

May 17, 2012

LPL Financial announced that Sallie Larsen was appointed managing director and chief human capital officer. Ms. Larsen, who is based in San Diego and reports to Mark Casady, chairman and CEO of LPL, started on May 1. In her new role, Ms. Larsen...

Keys to building a successful recruitment strategy

April 26, 2012

The chief executive of a highly successful RIA once told me he saw his assets under management go up and down every day in the office elevator. We were discussing how we were going to help him expand his firm to the next level of success. He...

Talking Points: How firms manage their staff

April 26, 2012

The following is excerpted from the webcast “Managing Staff Growth: When and How to Make the Next Hire,” which was sponsored by Pershing Advisor Solutions LLC and moderated by Kelli Cruz, director of research and consulting at IN Adviser...

LPL makes major executive moves

April 18, 2012

In a significant move, LPL Financial LLC is moving its president and one of its old guard, Esther Stearns, out to head a new subsidiary and promoting a more recent executive hire, current chief financial officer Robert Moore, to replace her....

Woodbury Financial could pay advisers to stay despite not having buyer

April 17, 2012

Put on the block last month, Woodbury Financial Service Inc., with 1,600 reps and advisers, is planning to take the highly unusual step of offering its advisers bonuses to stay in their seats before the independent broker-dealer has even found...

Next Gen asks 'WTF?' — What's the forecast?

March 29, 2012

With more than 1,000 students piling into the UD Arena this morning to attend the University of Dayton's R.I.S.E. Investment Forum to learn more about the world of finance, the first question addressed was a pointed one: What's forecast for...

Armond Dinverno answers six key questions about the RIA business

March 28, 2012

Armond Dinverno is the co-chief executive and president of Balasa Dinverno Foltz, a Chicago-based registered independent advisory firm that he co-founded in 1986. Dinverno discusses the importance of establishing a firm's culture before seeking...

Whitman stepping down as portfolio manager at Third Avenue

February 10, 2012

Legendary value investor Marty Whitman is stepping down as co-portfolio manger of Third Avenue Management's $3.3-billion flagship fund. Ian Lapey, who is currently co-portfolio manager of the Third Avenue Value Fund with Mr. Whitman, has been...

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