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Articles tagged "Cecile Munoz"


Ray Lucia Jr.: We have a profound respect for my father ... his regulatory challenges are his and his alone.

Derek Bruton joins forces with Ray Lucia Jr. in San Diego to execute national RIA hybrid plan
The ex-LPL exec saw no issue at all joining the eponymous son of the radio host barred by the SEC

Thursday 7.31.14
Kevin Corbett: For me, it was picking my favorite client and spending more time with them.

In two-part deal, Fidelity sacrifices a top talent to its top RIA client then fills the gap with an impressive hire from Schwab
Mariner's Marty Bicknell nabs Kevin Corbett and Fidelity's Bob Oros in turn snaps up Catherine Davies

Wednesday 7.16.14
Bill Chetney: I went to Mark Casady and Robert Moore and said: This is my natural habitat. I'd like to lead but from this format.

Bill Chetney is back to compete with LPL (among others) and Mark Casady is very much on board
His new $40-billion OSJ start-up will use the LPL hybrid platform and get a hand from the broker-dealer in procuring a right-to-recruit agreement and software

Wednesday 7.9.14
Racquel Oden is tasked with RIA-ifying the training program and infusing new blood into the starchy Merrill advisor force.

Is Merrill Lynch taking its more RIA-like training program another step forward with Racquel Oden's promotion?
The new head of training breaks stereotypes and may break new ground for the industry -- or not

Monday 3.10.14
Rajeev Sharan: I function as a market ‘shock absorber’ for clients.

Two 'super RIAs' -- Aspiriant and Salient -- hire risk officers in a sign of what clients value post-2008-'09, post-Madoff
In the post-Madoff era, explicit downside is becoming more important -- and lets Aspiriant justify its $7,500 planning fee better

Sunday 11.24.13
Adri Miller-Heckman:  It's hard to find a woman who got into it who says: I got into this to make a shit load of money.

Long the underdogs, female advisors are actually winning in two important categories, a study based on $3.5 trillion of AUM shows
Trust is where women -- especially with their own gender -- gain the upper hand, the PriceMetrix study concludes

Monday 11.18.13
Ruth Papazian: LPL was at that stage of really wanting to grow like H.D. Vest is today, and I love to grow things.

Ruth Papazian bursts back on the scene to jolt H.D. Vest out of its accountancy coma
The ex-LPL marketing czar lands at the Dallas firm as marketing and recruiting chief tasked with losing the 'stale' marketing and replenishing an army of low-producing advisors

Friday 10.18.13
Greg Mech: Increasingly, there's an overemphasis on cross-selling and a lack of transparency in [the wirehouse] space.

How a $2.5 billion Boise RIA will use Merrill Lynch's former SoCal overseer to win the over-sunned of The OC
The former Bank of America market president stepped back into the industry after a two-year hiatus following an epiphany and will be recruiting families, not his former flock of brokers

Monday 9.9.13
Cecile Munoz: Trying to be like a man diminishes our natural advantages.

Top RIA business executive recruiter chides 180 women gathered in a New York ballroom for second-guessing themselves
The make-no-excuses female headhunter, Cecile Munoz, says men claim the power after women 'self-select out'

Thursday 6.20.13
Rob Francais: It gets a little easier each time. We learn how to do it more effectively.

Aspiriant sets the stage for its next big buy -- and only RIAs with more than $1 billion in assets need apply
Now that the $7-billion Los Angeles firm has digested Deloitte, its executive M&A team ponders its next move

Tuesday 3.5.13
Richard Yoken:  I’ve always decided to fly under the radar and now we don’t mind being picked up over the radar.

A $1 billion RIA in the NY burbs got there without marketing now Focus Financial is assigned the makeover
Portfolio Strategy Group sells to the New York-based RIA umbrella and a website is the first order of business

Friday 2.1.13
Victor Fetter will be the face of LPL's technological skunkworks in North Carolina

LPL poaches top Dell exec to rewire outsourcing and head hundreds in new technology 'town'
Victor Fetter is reporting directly to Mark Casady and will help hire 60 techies in the next 45 days

Friday 12.14.12
Dwight Mathis: By the time they graduate after 43 months it'll put clear blue sky between us and our competition.

Merrill Lynch makes bold moves to train new recruits for an RIA-centric future
The rethought training program suits up new advisors -- many of them career changers -- for independence as well as for the wirehouse path

Wednesday 11.21.12
Rob Francais: I knew they were cut from the same cloth.

Why Deloite Touche talent is such a coveted building block at some esteemed RIAs
The changing challenge of serving the ultra-affluent is demanding skills that look more like Big Four accounting than the four wirehouses

Thursday 8.16.12
Jonathan Drubner: I knew if I could just find a mentor and someone who shared my philosophical views that I would be happy.

Why an ESPN sportscaster and comedian turned in his blazer to join a Los Angeles RIA -- and why the firm took a chance on him
In what may be an industry trend, L&S advisors is betting on a career-changer with more to offer than experience

Thursday 7.26.12
Kent Smetters: One of the pain points of a TAMP is that it takes so long to put together a plan.

LPL Financial rolls up an unusual RIA to use as a cornerstone of its TAMP-like mass-market venture
The big broker-dealer is buying Veritat Advisors, renaming it NestWise, and using a Wharton professor's technology to crack the case of managing multi-hundred-client practices

Tuesday 7.10.12
Iconiq's San Francisco offices are little more than a receptionist's desk and a row of trading screens -- but it's more than enough to manage the assets of Facebook's billionaires.

How the Facebook IPO is creating the mother of all RIAs, Iconiq, and what an in-your-face it is for Wall Street
Breakaway out of Morgan Stanley, Divesh Makan, attracts the Mark Zuckerbergs and Sheryl Sandbergs of the world with his pedigree and presence

Friday 5.18.12
Mark Casady is taking his most proven talent and giving her a challenge with a potentially momentous payoff.

LPL cannibalizes executive talent and launches mass-market entity
If anyone can crack the uncrackable low-end market, it's Esther Stearns, analysts and headhunters say

Thursday 4.19.12
Jeffrey Carney has no shortage of admirers who think he'll make Schwab's branches much more effective.

Without much ado, Schwab is set to put ex-Fidelity star in charge of its branch system
Jeffrey Carney will get back to his retail roots and could give a needed charge to the San Francisco broker's direct-sale efforts

Wednesday 3.14.12
Valerie Brown says that the deal cements Cetera's message about scale and diverse capabilities.

What the Cetera-Genworth IBD deal says about where these companies are headed
Cetera starts looking more like an IPO candidate and Genworth shucks a distraction from its asset-magnet TAMP

Thursday 1.12.12

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