The Compass Group advisors are joining DayMark Wealth Partners, a Cincinnati, Ohio-based RIA with $907 million in assets.
The father-son duo of Jeffrey and Justin Katz are joining LPL’s employee channel and will operate as Katz Wealth Advisors of LPL Financial.
The company, which self-reported the issue, signed separate consent orders with Finra and the New Hampshire Bureau of Securities Regulation.
The firm disclosed the investigations last year, and said it faces potential civil liability from allegations that it caused stock prices to drop before completing a block trade.
Naratil will become the firm's chief financial officer and lead the division that will oversee the Credit Suisse merger, a Swiss newspaper reports.
The giant firms face an approaching winter as they become less prominent in the overall advisory business.
Chicago-based Burnham Harbor Private Wealth has four advisors.
A majority of the bank's investors voted in favor of a shareholder proposal requesting an annual public report on efforts to prevent harassment and discrimination against employees.
While the firm added $28 billion in new funds from clients during the quarter, revenue at the wealth business fell short of estimates.
James Forsyth and Steven Miller, who operate as the Valencia Group, will be Steward Partners' first team in the Los Angeles metropolitan area.
Some of Hill's responsibilities will be handed off to Jeff Busconi, who holds the newly created position of head of wealth management strategy, products and services.
James Sheehan is based in Charleston, South Carolina, while Shawn Tighe works in northern New Jersey.
New York City-based Liberty Wealth Partners is just the latest team to leave First Republic in the wake of the turmoil that struck regional and West Coast banks.
But the wealth management unit was clearly a bright spot for the firm in the first quarter, with Morgan Stanley's overall earnings falling 19% from the year-earlier period.
Bank of America's wealth management business, which includes Merrill, saw a 3% year-over-year decline in revenue in Q1, as lower equity and fixed-income valuations hit asset management fees.
Andy Saperstein oversees the $4.5 billion wealth management unit that's catapulted Morgan Stanley's market value above that of archrival Goldman.
The company's new policy on head count, made clear in its first-quarter earnings report, aligns with decisions made by Morgan Stanley and Bank of America.
Naratil left the bank just six months ago after holding a number of senior positions in almost four decades at UBS, including president of UBS Americas, co-head of wealth management and CFO.
The price UBS paid for its Swiss rival is 'attractive' even after factoring in potential losses on Credit Suisse assets, litigation costs and restructuring expenses, according to a report by JPMorgan analysts.
The New York City-based Zipper Duarte team generates $12.5 million in annual revenue.
