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Five advisers managing $480 million leave Wells Fargo for Stifel
NEWS INDUSTRY NEWS MAY 21, 2019
Five advisers managing $480 million leave Wells Fargo for Stifel

Newcomers added in California, Washington and Kansas.

Dakota Wealth Management to acquire Springside Partners
NEWS INDUSTRY NEWS MAY 21, 2019
Dakota Wealth Management to acquire Springside Partners

Florida-based Dakota adds Ohio-based, woman-owned firm and $258 million in AUM.

Finra bars former TD Ameritrade broker over expenses inquiry
NEWS INDUSTRY NEWS MAY 20, 2019
Finra bars former TD Ameritrade broker over expenses inquiry

William Poynter declined to appear at hearing looking into tuition reimbursements.

Finra bars former LPL rep over no-show at hearing
NEWS INDUSTRY NEWS MAY 20, 2019
Finra bars former LPL rep over no-show at hearing

Philip Nalesnik failed to inform firm of outside business activities.

Benefits of cross-selling are too big for RPAs to ignore
RETIREMENT RETIREMENT PLANNING MAY 18, 2019
Benefits of cross-selling are too big for RPAs to ignore

Demand for new revenue sources points to relationships

Best clients put meaningful guidance and exceptional service at top of adviser must-haves
YOUR PRACTICE PRACTICE MANAGEMENT MAY 17, 2019
Best clients put meaningful guidance and exceptional service at top of adviser must-haves

Investments & Wealth Institute finds client satisfaction, loyalty insufficient to set advisers apart.

Investors worldwide support ESG investing, but still want performance
INVESTING ESG MAY 16, 2019
Investors worldwide support ESG investing, but still want performance

Global survey by Natixis polled 12,375 individual investors, financial advisers and institutional investors

Merrill Lynch duo managing $1 billion moves to Raymond James
NEWS INDUSTRY NEWS MAY 16, 2019
Merrill Lynch duo managing $1 billion moves to Raymond James

William Seyle and Tim Hickey join employee unit in Allentown, Pa.

Hybrid adviser managing $140 million switches affiliation from FSC to LPL
NEWS INDUSTRY NEWS MAY 15, 2019
Hybrid adviser managing $140 million switches affiliation from FSC to LPL

Six-person Michigan Retirement Advisors is based in Bloomfield Hills.

Four-adviser team managing $530 million at UBS goes independent
NEWS INDUSTRY NEWS MAY 13, 2019
Four-adviser team managing $530 million at UBS goes independent

Hybrid firm will use Schwab as its custodian.