Objective guidance and expertise that’s unmatched in the wealth management space
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
Orion’s Founder Eric Clarke on How Advisors Can Innovate, Disrupt and Win
The outgoing CEO of the wealthtech powerhouse shares his journey, starting with how the realization of the lack of quality portfolio solutions available in the ‘90s for RIAs would become the basis of Orion’s technology. It was a seminal moment for the industry—leveling the technology playing field and paving the way for the proliferation of independent firms, with access to tools that would allow them to compete with the industry’s behemoths. Plus, Eric discusses the firm’s growth over the years, and perspectives on the future of wealth management, technology and AI, and much more. 
Listen…
Summit Trail’s Jack Petersen on How Their Blockbuster Break Created a $16B Firm Designed to Serve the Unique Needs of UHNW Clients
The Barclays breakaway discusses his 2015 landmark leap with 5 partners, 3 offices, and $3B in AUM—and how Summit Trail became a $16B enterprise. It’s an in-depth conversation around the evolution of wealth management, growth, and focus—and why “supermarket platforms,” designed to manage tens of thousands of advisors and their clients, make it difficult, if not impossible, to serve the unique needs of sophisticated ultra-high net worth clients. Listen…
In the News
Former Merrill star manager Oden jumps to HSBC
September 21, 2023 Louis Diamond Quoted by Bruce Kelly Big banks can struggle when they’re trying to figure out a…
Read MoreShirl Penney hands over ‘front end of the house’ to Andrew Marsh as Dynasty does post-$100-million raise, post-IPO withdrawal and post-Schwab partnering reboot
September 21, 2023 Louis Diamond Quoted by Brooke Southall Dynasty Financial Partners hired an RIA coach in April, and now…
Read MoreWells Fargo’s Broker Recruiting Deals Can Hit 400%, Sommers Says
September 19, 2023 Mindy Diamond Cited by Miriam Rozen Barry Sommers, the chief executive officer of Wells Fargo’s Wealth &…
Read MoreTransition Announcement: Multiple $1mm+ Producers Depart Edward Jones
In two recently announced moves, Edward Jones advisors decamped for independence with Kestra PWS and Raymond James Financial Services. Even…
Read MoreUBS’s Cost Cuts Dampen Brokers’ Expense Budgets
September 14, 2023 Louis Diamond Quoted by Miriam Rozen Field managers at UBS Wealth Management USA have tightened their travel…
Read MoreMerrill Team with $353M Book Joins RayJay in FL, Another Shifts to LPL in TX
September 5, 2023 By Karmen Alexander The steady stream of brokers out of Merrill Lynch continues as two teams who…
Read MoreGoldman PFM Advisors in Dallas Decamp for Dynasty RIA, Regional B-D Hilltop
September 5, 2023 By Mason Braswell At least four advisors with Goldman Sachs’ Personal Financial Management unit have hit the…
Read MoreTransition Announcement: $270mm Merrill Team Sets-Up Independent Practice with LPL
Breakaway Wealth Management is a young, entrepreneurial team that values simplicity and transparency, with a desire to operate independently and…
Read MoreRBC makes biggest hire ever with $5.5 billion team from UBS
August 21, 2023 Jason Diamond Quoted By Nathan Place For the second time this month, RBC Wealth Management expanded its…
Read MoreTransition Announcement: $5.5B UBS Mega-Team Leaves for RBC
One of the top teams in the industry, led by the largest female advisor at UBS, Leslie Lauer, moves to…
Read MoreRBC snags giant $5.5 billion team from UBS in Atlanta
August 18, 2023 By Bruce Kelly The ESOP Group, founded in 1989, specializes in working with business owners on the…
Read MoreUBS Loses $5.5 Billion Advisor Team to RBC
August 18, 2023 By Andrew Welsch RBC Wealth Management made its biggest team hire ever, picking up what the firm…
Read More