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In the News

In the News

Our expertise is often sought by leading national media publications for bylined articles and to provide background and color to industry news.

Destination: Anywhere? Not Quite, for Breakaway Advisors

Destination: Anywhere? Not Quite, for Breakaway Advisors

Louis Diamond Quoted – By Ellen Sheng, Financial Advisors IQ – Plenty of advisors are yearning for more independence, but that can mean any number of options these days. Advisors may find their freedom at another firm, an existing RIA or an independent broker-dealer. Advisors may also find more independence at regional firms or independent broker-dealers.

So, You Want to Break Away?

So, You Want to Break Away?

Louis Diamond Quoted – By Ellen Sheng, Financial Advisors IQ – The trend of financial advisors breaking away from their brokerages doesn’t seem to be dying down anytime soon. Changes in the industry — the shift from commission-based compensation models to fee-based, increasing compliance and regulatory requirements and advances in technology — are all making independence more appealing to advisors.

Sanctuary adds $150m practice from Ameriprise

Sanctuary adds $150m practice from Ameriprise

By Jake Martin, Citywire – Sanctuary Wealth has added former Ameriprise Financial advisor Travis Grieb and his new firm, Centeras Private Wealth, to its partner network. Grieb, who spent the last 14 years with Ameriprise, will launch his new business in Portsmouth, New Hampshire.

Will the pandemic lead to a historical wave of retirement among advisors?

Will the pandemic lead to a historical wave of retirement among advisors?

Wendy Leung Quoted – By Jameson Berkow, The Globe and Mail – The COVID-19 pandemic has triggered a wave of succession planning among financial advisors that some experts believe could become the largest transition the industry has ever seen.

Morgan Stanley Redirects Lucrative E*Trade Referrals to Elite FA Squad

Morgan Stanley Redirects Lucrative E*Trade Referrals to Elite FA Squad

Louis Diamond Quoted – By Miriam Rozen, Financial Advisors IQ – Morgan Stanley has told its financial advisors that any client referrals coming from its E*Trade unit will go to a pre-selected set of 500 teams, a source familiar with the matter says.

Morgan Stanley Chief: FAs ‘Aren’t Leaving’

Morgan Stanley Chief: FAs ‘Aren’t Leaving’

Louis Diamond Quoted – By Miriam Rozen, Financial Advisor IQ – Morgan Stanley aims to continue aggressively recruiting financial advisors and halt their attrition, according to the bank’s senior executives.

Goldman CEO David Solomon is ready to make a push into RIA custody. Goldman Sachs lifts two superstar RIA recruiters from Schwab and Pershing, tipping its hand on a big push into the RIA space, targeting early 2021 custody launch

Goldman CEO David Solomon is ready to make a push into RIA custody. Goldman Sachs lifts two superstar RIA recruiters from Schwab and Pershing, tipping its hand on a big push into the RIA space, targeting early 2021 custody launch

Louis Diamond Quoted – By Oisin Breen, RIABiz – Goldman Sachs made its first major hires — and poaches from Schwab and Pershing RIA custody units — as it prepares to leverage its Folio Financial acquisition for an invasion of their turf. Expect a hard launch early next year.

Will Equity Answer Wealth Management’s “Compensation Conundrum?”

Will Equity Answer Wealth Management’s “Compensation Conundrum?”

Barbara Herman Quoted – By Charles Paikert, Family Wealth Report – What keeps owners of wealth management firms up at night? Compensation, recruiting, retention and equity certainly top most lists. According to Schwab’s 2020 Compensation Report, median compensation costs are 70 percent of revenues for firms with over $100 million in AUM.

$421m team breaks away from Oppenheimer

$421m team breaks away from Oppenheimer

By Ian Wenik, Ctiywire – A family of advisors formerly affiliated with Oppenheimer & Co. has broken away to start a TruClarity Management Solutions-backed RIA. Jonathan Nadler, along with daughter Jessica Demler and son-in-law Masahiro Yamazaki, have exited to start Oxler Private Wealth in New York City. The trio managed roughly $421m in client assets while affiliated with Oppenheimer, TruClarity said.

Stifel hires former UBS, Merrill teams to staff two new offices

Stifel hires former UBS, Merrill teams to staff two new offices

By Andrew Welsch, OnWallStreet – Stifel signed on two teams managing more than $450 million in combined assets to staff two new branch offices, according to the firm, furthering the regional broker-dealer’s aggressive hiring streak in recent months.

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Recent News & Articles

  • Advisor Choice: How Models Like Wells Fargo’s First Clearing Offer Optionality and Flexibility
  • The Trapeze: A Parable for Advisors Considering Change
  • Industry Update: Answers to the Top 10 Questions Advisors Ask When Considering Change
  • How First Republic Private Wealth, an under-the-radar wealth management firm, became the hottest ticket in the space—and why it matters
  • In Pursuit of Purpose: The Story of a Billion-Dollar Breakaway Turned Fee-Only Independent Entrepreneur
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