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Posts by Barbara Herman

About Barbara Herman

Senior Vice President – Known for her sound advice, unique perspectives and ability to identify creative solutions. Barbara has developed deep and longstanding strategic relationships with financial services firms – from wirehouses to boutiques, as well as the diverse independent space – and works with some of the most sophisticated teams and individual advisors. Learn more...

    Rockefeller Adds 3 Ex-Merrill Lynch Teams In Florida, Indiana And California

    Rockefeller Adds 3 Ex-Merrill Lynch Teams In Florida, Indiana And California

    FA-Mag.com – Rockefeller Capital Management today announced the addition of three advisors teams, including the Jones Connolly Pollock Group, an 11-member team in Winter Park, Fla., that was formerly with Merrill Lynch.

    Rockefeller Scoops up 3 Merrill Lynch Teams Producing $15.5M Combined

    Rockefeller Scoops up 3 Merrill Lynch Teams Producing $15.5M Combined

    By Mason Braswell, AdvisorHub – In a wave of departures before the President’s Day weekend, three Merrill Lynch teams that had generated over $15 million in revenue combined joined Rockefeller Capital Management’s private wealth division on Friday, according to a well-placed source. 

    Transition Announcement: Career-Merrill Team Chooses Sanctuary’s Model of Independence

    Transition Announcement: Career-Merrill Team Chooses Sanctuary’s Model of Independence

    Independence answered this pair’s requirement to gain freedom, control and ownership over their business with the benefit of a turnkey start-up and support—allowing them to focus on serving their high net worth clients, including professional athletes and coaches.

    Sanctuary Plucks $2.4-Mln Team of Merrill Lifers with Pro Athlete Book

    Sanctuary Plucks $2.4-Mln Team of Merrill Lifers with Pro Athlete Book

    By AdvisorHub Staff, AdvisorHub – Indianapolis-based independent broker-dealer Sanctuary Wealth has added its first team in Wisconsin with the hire of a Merrill Lynch team that had managed around $400 million in assets. 

    How Rising Above the Minutiae Can Offer a New View on Opportunities

    How Rising Above the Minutiae Can Offer a New View on Opportunities

    By Barbra Herman, InvestmentNews – When considering a move, it’s critical to strike the right balance between satisfying specific, objective criteria for immediate needs while taking a wider perspective of longer-term goals and shared values.

    Merrill Veteran Producers Go Indie with LPL and Raymond James Affiliate

    Merrill Veteran Producers Go Indie with LPL and Raymond James Affiliate

    By Jake Martin, AdvisorHub – Ivan Hendricks, a solo producer from Monroe, Louisiana, managing $280 million left Merrill Lynch for LPL Financial Strategic Wealth Services (SWS).

    Avoiding the Post-Transition Blues

    Avoiding the Post-Transition Blues

    By Barbra Herman, InvestmentNews – Financial advisors may spend months, even years, performing the due diligence that leads them to their next best opportunity. Yet still, they often overlook some of the finer points that allow for a better post-move experience. Here are 8 tips to help advisors enjoy a less stressful experience during and after a move.

    Why are so Many Merrill Advisors Moving: Bracing for the Next Chapter

    Why are so Many Merrill Advisors Moving: Bracing for the Next Chapter

    By Barbara Herman, InvestmentNews – With so much movement by top advisors, even diehard Merrill folks, who have been the industry’s most loyal over the years, are asking: “Why are so many people moving and what am I missing by staying?”

    LPL Unveils Pure-Play Custodial Service for Fee-Only RIAs

    LPL Unveils Pure-Play Custodial Service for Fee-Only RIAs

    Barbara Herman Quoted – By Diana Britton, WealthManagement.com – While LPL Financial has custodied assets for registered investment advisors since 2008, it was largely to support the fledgling hybrid advisory business of its registered reps. But as it has across the industry, that advisory business has grown fast.

    In Pursuit of Autonomy: The 10 Key Areas in Which Advisors Desire More Control

    In Pursuit of Autonomy: The 10 Key Areas in Which Advisors Desire More Control

    By Barbara Herman, ThinkAdvisor.com – The desire for greater control and flexibility has become the single most powerful driver of advisor movement and change. This concept of “wanting greater agency over their business lives” cuts across all business models and has never been more prevalent.

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