Displaying 97 results
Market forecasters dissect the sell-off
Stocks slide follows a very subdued third quarter
Turns out commissions are OK at Commonwealth Financial, JPMorgan, Merrill Lynch
Commonwealth and JPMorgan reevaluate use of commissions in retirement accounts.
Securian loses $700 million indie to Commonwealth
Integrated Equity Management is based in Bloomington, Minn.,
MML loses $400 million team to Commonwealth
Innovative Financial Solutions is based in Bloomington, Ind., and Palm Coast, Fla.
Trap Kloman to become president and COO of Commonwealth Financial
Kloman, currently the firm's CFO, will succeed Rich Hunter by year-end
Potter Financial shifts from Kestra to Commonwealth
Hybrid manages $130 million in Durham, N.C.
Why saying goodbye to your clients and business is hard
Advisers should consider the challenges they may face when retiring, as many find this transition to be harder than they anticipated
Ameriprise team managing $282 million moves to Commonwealth
Endeavor Wealth Advisory Group is based in Rochester, N.Y.
Team managing $180 million switches from LPL to Commonwealth
Three-adviser TL Financial Group is based in Southgate, Mich.
Redefining efficiency in your business
It's not just how a firm goes about its daily work, it's about its ability to manage change.
Commonwealth’s Joseph Deitch debuts as self-help author
Twenty years in the making, 'Elevate' strives to put a career in financial services in perspective.
Team managing $263 million at INVEST joins Commonwealth Financial Network
Hybrid firm Riverstone Wealth Partners based in St. Charles and Naperville, Ill.
Independent broker-dealers open up their coffers as fight for talent turns fierce
One factor was the competition for NPH advisers as IBDs record double-digit increases in the amount spent on forgivable loans.
Team managing $350 million at Northwestern Mutual joins Commonwealth
Father-and-son Spiegelman Wealth Management is based in Lafayette, Calif.
Morgan Stanley wins restraining order, but former broker can contact clients
New Jersey broker John Fitzgerald left for Commonwealth Financial Network last week.
Four-person hybrid group leaves SII for Commonwealth
Midwest Financial Group in Wisconsin manages $186 million.
LPL sheds $1 billion in assets as NPH ‘refugees’ form RIA
Meanwhile, a different group managing $650 million moves from NPC to Commonwealth
LPL watching $100 million in NPH production move to rivals, executives say
Securities America, Cambridge and Commonwealth are winning advisers, but LPL may still retain 50% to 75% of NPH revenue
$1.3 billion advisory firm leaves NPC for Commonwealth
New York-based Paris International started looking for new broker-dealer as National Planning Holdings' deal with LPL Financial came to light.
Large independent broker-dealers continue to make headway with recruits
DOL fiduciary rule is having some impact, but advisers are still moving within the industry
