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Knowledgebase for Advisors
Recent news, updates and advice from our blog for financial advisors and business owners.
The latest from our podcast series for financial advisors
Industry Update on M&A: Meet the Investors—Why It’s Important for All Advisors to Know Who They Are
Whether you’re a wirehouse advisor or independent firm owner, the challenges you will face at some point are the same: Accelerating growth, creating scale and monetizing your life’s work. Or you may be an advisor looking to access transition capital and de-risk a move to independence. Louis Diamond answers these questions and more, plus discusses the unique value propositions of key investors in the space. 
Listen…
From Ex-Morgan Stanley Advisor to One of the Biggest Breakaway Stories of 2019
Many advisors struggle with the idea of independence being a viable option for them—particularly if a portion of their book of business is not portable. Then the decision to stay or go rests on the calculus of whether they’re willing to leave some of their assets behind for the potential of being able to better serve their core customers and grow their businesses with greater freedom and flexibility. Essentially, getting smaller to ultimately get bigger. That’s what Morgan Stanley breakaway Jason Fertitta and his team did in April of 2019: They opted to leave behind 2/3 of their $6B in assets when they left Morgan to build independent firm Americana Partners in Houston, Texas. Hear why and what happened next… Listen…
In the News
$421m team breaks away from Oppenheimer
September 23, 2020 By Ian Wenik A family of advisors formerly affiliated with Oppenheimer & Co. has broken away to…
Read MoreStifel hires former UBS, Merrill teams to staff two new offices
September 22, 2020 By Andrew Welsch Stifel signed on two teams managing more than $450 million in combined assets to…
Read MoreCareer Merrill Broker in Michigan Joins Another Alum’s RIA
September 21, 2020 By Mason Braswell Transcend Wealth Collective, a registered investment advisory firm founded last year by a former Merrill Lynch…
Read MoreRockefeller Nabs $900-Mln Merrill Team in CA, Two from UBS in TX and AZ
September 8, 2020 By AdvisorHub Staff Rockefeller Capital Management oiled its recruiting engine ahead of the Labor Day weekend, landing…
Read MoreSpeculation Stirs Over Wirehouses’ 2021 FA Pay Plans
September 8, 2020 Louis Diamond Quoted By Miriam Rozen Planned hikes in production thresholds and other factors impacting wirehouse…
Read MoreTeam managing $1.2 billion at UBS joins Raymond James
August 31, 2020 By InvestmentNews A team of advisers that managed $1.2 billion in client assets at UBS in Overland Park, Kansas, is…
Read MoreUBS Hires Brokers With $2.4 Million From SunTrust, Fidelity, Merrill
August 20, 2020 Mindy Diamond Quoted By Mason Braswell and Vicky Ge Huang UBS Wealth Management USA continued its campaign…
Read MoreThe Evolving Advisor Podcast: Mindy and Louis Diamond
August 2-, 2020 Mindy Diamond and Louis Diamond Featured By Jeff Concepcion In this episode, Jeff, Mindy, and Louis discuss:…
Read MoreSanctuary adds $150m North Dakota shop
August 17, 2020 By Jake Martin Sanctuary Wealth has widened its footprint in the upper Midwest with the addition of…
Read MoreHer Success Matters: Mindy Diamond [podcast]
August 14, 2020 Mindy Diamond Featured By Christine Shaw Recruiting and consulting powerhouse Mindy Diamond joins Christine Shaw on this…
Read MoreParthenon Capital puts $8bn Allworth up for sale: Sources
August 13, 2020 Louis Diamond Quoted By Ian Wenik Parthenon Capital is pursuing a sale of RIA aggregator Allworth Financial,…
Read MoreLPL Begins Recruiting to Employee Advisor Channel
August 5, 2020 Louis Diamond Quoted By Diana Britton LPL Financial announced its first foray into the W-2 affiliation model…
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