The Practice: Staffing and recruiting
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May 17, 2017CFA Exams to Put More Emphasis on FintechExpect more questions and a separate reading section on technology.No Comments
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May 17, 2017Focus Financial Bulks Up with $16.5B RIAWealth-firm aggregator says it's made its biggest buy to date.No Comments
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May 17, 2017Merrill Team Leaves to Protect Fee FlexibilityOpts for independence over another wirehouse to avoid home-office dictates.No Comments
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May 16, 2017For Growth, Firm Founders Must Become Real CEOsBeing a full-time advisor and full-time leader isn’t feasible past a certain firm size.No Comments
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May 15, 2017Merrill to Pause Traditional Recruiting, Try to Lure IndiesWirehouse may halt all such activity June 1 to create a new incentive structure.Last Comment: May 15, 2017
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May 11, 2017Focus, HighTower and Steward Partners Dominate M&AFirms like Mercer and CapTrust were also active cutting new deals for wealth-management firms in Q1.No Comments
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May 11, 2017Two Morgan Stanley Branch Managers DepartOne jumps ship to RBC’s’ U.S. wealth unit, the other is “permitted to resign.”No Comments
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May 10, 2017Finra Suspends Former Commonwealth BrokerVeteran financial advisor allegedly traded in a deceased client’s accounts.No Comments
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May 10, 2017Merrill Lynch Team Managing $420M Jumps to LPLTeam cites flexibility in light of DOL rule as impetus for the move.No Comments
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May 8, 2017Ponzi Schemes Are Alive and WellInvestors warned: The best defense against fraud is a licensed financial advisor.No Comments
