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Wells Fargo team managing $250 million goes indie with LPL
Humanity Wealth Advisors sets up shop in California’s Bay Area.
Wells Fargo fined $2.25 million for record-keeping violations
Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.
Wells Fargo’s credit-card revamp ‘not rocket science,’ Scharf says
The bank has launched a number of new credit cards this year, including a low-interest-rate card, and plans a rewards-card line next year.
Reps managing $1.7 billion at Wells Fargo join Alex. Brown
A group of advisers based in Miami are moving to the Raymond James unit.
Raymond James adds $670 million team in South Carolina
The Clauss & Ellison Group, a three-person team from Merrill Lynch, is joining the firm’s employee adviser channel.
UBS nominates Colm Kelleher as next chairman
The former president of Morgan Stanley will stand for election to succeed Axel Weber at the Swiss bank's annual meeting in April.
Morgan Stanley wants more diverse young hires
The firm is announcing an initiative, the Equity Collective, in which wealth and asset management firms commit to working with career-focused community organizations to reach young people from more diverse backgrounds.
Adviser recruiting stays cold while breakaway RIAs heat up
The prevailing trend of advisers going independent has only gathered steam, according to third-quarter Advisers on the Move data.
Georgia teams managing $308 million join Raymond James
Two advisers from Truist and a trio from Merrill Lynch are moving to the firm's employee channel.
Merrill Lynch duo managing $215 million join Raymond James
Francine Payson and Tarek Salhab are joining the firm's employee unit in Fort Myers, Florida.
Billion-dollar trio at Wells Fargo moves to Ashton Thomas
The three advisers will open the firm’s third Montana office in Helena.
Recruiter cites rumblings from Merrill advisers about Project Thunder
The common theme advisers share is that despite this effort, the firm's leadership is still quite disconnected from their real concerns.
Merrill Lynch duo managing $216 million joins Raymond James
Gus Fingado and Matthew Walter are joining the firm's employee unit in Manalapan, New Jersey.
Merrill Lynch trio managing $565 million moves to RBC
Mark Johnson, Bart McNabb and Adam Johnson based in Wayzata, Minnesota.
Adviser comp at Merrill Lynch: If it ain’t broke, why fix it?
The wirehouse is tweaking how it calculates advisers' payouts.
UBS wealth management notches another strong quarter
Meanwhile, the investment bank announced plans to launch a digital wealth manager in the U.S. next year targeting affluent clientele.
UBS considers changes to global family office unit
The bank is responding to internal wrangling about how the profits from the unit that deals with some of its richest clients are shared between its wealth management and investment management businesses.
UBS to start digital wealth manager in the US
The new service, scheduled to begin sometime next year, will service customers with between $250,000 and $2 million in assets, a group that UBS hasn't previously targeted in a meaningful way.
UBS rep managing $265 million joins LPL
David Winchell is setting up his own firm, Winchell Financial Group, in Las Vegas.
Merrill Lynch trio managing $890 million moves to UBS
The veteran advisers and three associates make the switch in midtown Manhattan
