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March 8, 2018

Merrill Lynch Reps Managing $330M Split to Raymond James
An advisor in Boston joins the company’s traditional employee broker-dealer and another duo joins Raymond James-affiliated Steward Partners.
Third Seven Capital Advisors Reels In Boston Family Office
Ultra-wealthy investors hungry for old-fashioned direct investing.
Senator Tries to Hold Finra Liable for Unpaid Arb Awards
Warren introduces legislation requiring Finra to set up a pool of funds.
Buckingham Acquires $600M RIA WealthQuest
Separately, Dynasty Financial Partners brings on a $400 million RIA.
Show Me The Tech
What RIAs need to offer to bolster advisor recruitment.