Displaying 2261 results
Morgan Stanley team managing $400 million moves to Rockefeller
Six-member Legacy Family Wealth group opens office in Scottsdale, Arizona
FiNet advisers managing $375 million merge and switch to LPL
The trio formed Raintree Wealth Partners in Scottsdale, Arizona
What will Morgan Stanley’s James Gorman do with ETrade’s custody business?
The brokerage's Advisor Services won’t be an open doorway for Morgan Stanley’s 16,000 advisers to become independent RIAs — at least not yet
Wells Fargo resumes job cuts
The bank is breaking with some U.S. competitors that have resisted layoffs amid the pandemic
Merrill team with $530 million goes indie with Sanctuary
The eight-person Longo Group is based in Slidell, Louisiana
Merrill Lynch releases adviser diversity data
Andy Sieg reports thundering herd's adviser pool includes 21% women and 23% ethnically diverse professionals
UBS revamps wealth unit, aims to lend more to clients
The changes in its legal structure will help the bank meet its target of lending $20 billion to $30 billion a year to wealthy clients outside Switzerland
Broker recruiting moves plunge amid pandemic
But one arm of Wells Fargo Advisors has been a popular destination for advisers in the first half of the year
McCann stepping down at UBS
After joining from Merrill Lynch in 2009, he was credited with injecting new life into UBS' U.S. wealth management business
Merrill puts trainees’ sales efforts on hold
Calls by adviser newbies were violating compliance rules, report says
Three UBS advisers managing $1 billion move to Stifel
The team of Gary Bice and Michael Leach and a solo adviser, John Prebay, join in Southfield, Michigan
Morgan Stanley team managing $675 million moves to RBC
The four-adviser group in Beverly Hills, California, cites RBC's affiliation with City National
Merrill Lynch launches Personal Wealth Analysis for advisers
The wirehouse integrated its legacy planning and portfolio analysis tools into a redesigned interface for advisers
Morgan Stanley team managing $280 million moves to Baird
Four-person Fischetti Barry group is based in a suburb of Pittsburgh
UBS cuts ties with some Venezuelan clients amid U.S. sanctions
The move affects accounts with links to Venezuela's government or to the state-owned oil company, PDVSA
FiNet team managing $300 million moves to Raymond James
The six-adviser Uinta Wealth Management team is based in Salt Lake City
Trio managing $1.05 billion joins UBS from Alex. Brown
David Rosenthal, Stephen Collins and Daniel Rupp are based in Westport, Connecticut
Merrill, Fidelity sign injunction over client data
An adviser who recently left Fidelity allegedly used client data from his former job to contact prospects
Number of B-Ds, reps registered with Finra falls again
Firms registered with the broker-dealer industry regulator saw their revenues and profits rise last year
Adviser managing $279 million at Wells Fargo joins Baird
Philip Stathos becomes part of wealth management team in Portland, Maine
