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For Independent Business Owners

Knowledgebase for Advisors

Recent news, updates and advice from our blog for financial advisors and business owners.

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In the News

20Feb

Will Wells Fargo’s RIA Offering Cannibalize its Advisor Ranks?

Barbara Herman Quoted By Miriam Rozen Wirehouse Wells Fargo recently unveiled the identities of the first two advisors to join its new…

19Feb

Shirl Penney flies south, taking Dynasty Financial Partners to St. Petersburg in advance of a hiring spree, but won’t kiss-off the Big Apple just yet

Louis Diamond Quoted By Brooke Southall If you can make it in the Big Apple, you can really kill it…

06Feb

LPL Financial shares zoom to all-time high of $77, after new CEO lets brokers sell like hell, and RIA custody and OSJ contracts achieve new balance

Louis Diamond Quoted By Lisa Shidler LPL Financial stock soared to an all-time of $77 a share, Feb. 5, on a resounding Wall…

05Feb

Focus on Credit Unions, Banks Helps Cetera Post Record Assets in ’18

Louis Diamond Quoted By Michael Thrasher Banks and credit unions helped Cetera Financial Group recruit more than 800 financial advisors…

25Jan

Answers to the Top-Five Questions Advisors Have About Independence

By Mindy Diamond It’s hard to deny the increasing momentum toward independence. Whether it’s studies showing year-over-year growth nearing double…

24Jan

Raymond James bids to be the Goldman Sachs of RIA M&A through acquistion Silver Lane — and it might just work

Louis Diamond Quoted By Brooke Southall Silver Lane took a step toward becoming a Goldman Sachs-like investment banking force in the…

22Jan

Beware: Sunset Agreements Can Have Hidden Pitfalls For Next Gen Advisors

Mindy Diamond Quoted By Mrinalini Krishna Sunset agreements are a fast-growing technique the industry is using to help solve its…

15Jan

Private Advisor Group’s New Affiliation Model Faces Competition

Louis Diamond Quoted By Diana Britton Private Advisor Group, a hybrid registered investment advisory and office of supervisory jurisdiction of…

11Jan

Independent advice in 2019: new adviser structures and moving upmarket

Mindy Diamond Quoted By James Connington Advisers are looking for ways to be independent without building a business from scratch,…

04Jan

The Real Message Behind the Movement of $1 Billion Teams

By Mindy Diamond Advisor movement among the top producers in the industry—those from traditional brokerage firms and banks who are…

The latest from our podcast series for financial advisors

Michael Henley - Diamond Podcast for Financial Advisors

A Diehard Merrill Advisor’s Journey to Independence

Michael Henley, a 34-yr old “diehard Merrill Lynch advisor” and his team – with a partner less than 10 years from retirement and looking at CTP – came to a point at the wirehouse when it was more about “jumping through hoops” for the bank than doing what was best for their clients. Listen…