Advisor Headcounts Rise After Years of Decline
The total number of advisors across the industry rose 1.1% in 2014, according to a report from Cerulli Associates. But the research firm warns they may fall again in years to come.
The investment bank lands a six-member group to run a custody and emerging-market bond business within its wealth management unit. Read More »
Chris Mahoney, a longtime veteran of the wirehouse, says he loved his time there. But bureaucratic changes forced his nearly $3 billion practice to find a new home. Read More »
The firm said it landed the mega team from Merrill Lynch, marking it the largest recruiting move in Raymond James' history. Read More »
The independent firm affiliated with Raymond James picks up two recruits who made the jump in separate moves from Oppenheimer. Read More »
The recruits have launched independent practices and joined existing teams with FiNet. Read More »
RBC's newest recruits oversee about $132 million in client assets. Read More »
The new recruits join Baird from Wells Fargo Advisors and Stifel. Read More »
A new recruit generating about $1 million in annual revenues made the move from UBS, the firm said. Read More »
An advisor managing $195 million in client assets left Wells Fargo Advisors for Raymond James & Associates. Read More »
FINRA moved to banish the broker for failing to cooperate with an investigation into allegations that he borrowed thousands of dollars from a 70-year-old customer without Wells Fargo's prior approval. Read More »
Despite predictions of a coming boom market by Cerulli Associates and others, the leaders of the biggest brokerage firms remain divided about whether to jump into the fray. Read More »
With the acquisition of City National Bank complete, RBC will begin beefing up its capabilities – but in a carefully planned roll-out, says John Taft, CEO of RBC Wealth Management-U.S. Read More »
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