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In the News
16Jul
Wells Fargo pins shrinking FA ranks on retiring advisors
July 13, 2018 Louis Diamond Quoted By Andrew Welsch and Jessica Mathews Wells Fargo's brokerage ranks continue to shrink, indicating…
Read More13Jul
Janney Adds $3.1 Billion in Assets In Second Quarter, Keeping Pace With Record 2017
July 12, 2018 Louis Diamond Quoted By Michael Thrasher Janney Montgomery Scott, the regional broker/dealer based in Philadelphia that manages…
Read More10Jul
Georgia Ruling Arms Firms Looking to Overthrow the Recruiting Protocol
July 10, 2018 Barbara Herman Quoted By Thomas Coyle A recent state court ruling has cast doubt on a key…
Read More03Jul
Is the head count falling at independent broker-dealers? Not yet.
June 2, 2018 Louis Diamond Quoted By Tobias Salinger The number of financial advisors dropped by the largest independent broker-dealers…
Read More02Jul
The New Buyers: Familiar Names with Deep Pockets
June 29, 2018 By Mindy Diamond There is an interesting trend emerging in the wealth management industry: banks and traditional…
Read More29Jun
Upstart RIA uses access to alternatives to recruit advisers
June 28, 2018 Louis Diamond Quoted By Jeff Benjamin A fledgling New York-based financial advisory firm aims to make a…
Read More26Jun
How Advisor Group’s deal for Signator could reshape the IBD space
June 25, 2018 Louis Diamond Quoted By Tobias Salinger Advisor Group’s second acquisition of the year carries the potential to…
Read More18Jun
Merrill Lynch Reconsiders Commissions for Retirement Accounts in Wake of Fiduciary Rule Defeat
June 15, 2018 Louis Diamond Quoted By Michael Thrasher In wake of U.S. courts axing the Department of Labor’s retirement…
Read More13Jun
Advisers with billions in AUM leaving Wall Street
June 13, 2018 Louis Diamond Quoted By Bruce Kelly The biggest firms continue to lose groups of financial advisers that…
Read More24May
Focus Financial files to raise $100 million in IPO with ‘interesting’ timing
May 24, 2018 Louis Diamond Quoted By Brooke Southall Focus Financial filed the paperwork to complete an initial public offering.…
Read More
The latest from our podcast series for advisors
Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?
Why are advisors not protected by the Broker Protocol – and sometimes facing significant garden leave – willing to take on the added risks to become independent? In this episode, Mindy explores the ever-growing trend and answers many of the questions advisors are asking. Listen to the podcast…