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Articles tagged "Morgan Stanley"


Andrew Stoltmann: Schwab has always been the big-eyed doe sitting off on the sidelines.

After Morgan Stanley 'raided' Schwab branch in San Francisco, Schwab fought in FINRA 'court' and lost, but perhaps won on the larger level
The San Francisco-based $2.4-trillion broker still isn't swallowing the loss and sent a clear message that it will battle tirelessly

Thursday 9.4.14
David Bach: The No. 1 question I get asked: 'Who's a good financial advisor that I can hire?' I have not had anywhere to send these people.

Ric Edelman takes on an advisor-evangelist clone in David Bach -- but says mitigating key-man risk is a very secondary purpose of the hire
The two media maestros will modify their approach to being fishers of advisors rather than fishers of assets

Tuesday 7.1.14
Frank Polefrone: RIAs place emphasis on their discretionary role and will easily move in and out of products based on the performance of the funds.

RIAs surpass wirehouses in ETF asset distribution and it'll mean change
For providers of these products and others, getting to registered investment advisors requires more Mapquest, more local manners and more frequent flying than their Morgan, Merrill,, UBS and Wells Fargo cousins

Thursday 5.22.14
Mike Maurer: We've coached their kids in little league and gone to weddings and funerals with them.

How Ex-Morgan Stanley powers are rolling up ex-colleagues and how big Raymond James cash fits into the picture
Steward Partners Global Advisory will custody all its assets at RJ but won't have to foot the bill for signing bonuses

Monday 5.12.14
Libby Cherrington (right) and Krista Dunton have two kids and have been married almost five years.

How Morgan Stanley and a lesbian super-producer came to grief in South Carolina and why she alleges bias
The wirehouse's response: Libby Cherrington is using the gay issue to distract from a $6.7 million loan that has gone unpaid by the AIG rep

Tuesday 4.15.14
Carrie Gallaway's team had to write a check to Morgan Stanley but sees a long-term play with Lebenthal.

What exactly lured a sparkling Morgan Stanley advisor and $1.2 billion to a retreaded brand name attached to a fledgling RIA
Carrie Gallaway and partner Andrew Stern got no signing bonus but the Lebenthal brand, and what Frank Campanale is building with Fortigent, Envestnet and BNY Mellon, attracted them

Friday 3.28.14
Roger Paradisio: I think model delivery is early enough in its world—it's only been going on for so many years and it's small enough that we can contain it now.

How Envestnet is taking its stranglehold on money-managers-to-IBD reps distribution to a much wider channel base of financial advisors
The Chicago-based giant will use standards, critical mass, manager relations, folio technology and a special MMI blessing to cut costs and hassles in a way that shift the cost paradigm

Monday 3.17.14
I learned most when I spoke directly to the politicians, in this case, Chris Dodd.

How Barney Frank and Chris Dodd surprised me after I got them aside for one-on-one chats
The namesakes for Dodd-Frank invest personally through Morgan Stanley and Merrill Lynch and seem to be oblivious about why that may not be in their best interests -- though I tried to explain it to Barney Frank

Tuesday 12.17.13
Patrick Burns: The shift was sudden.

Backs to the wall, wirehouses renew legal efforts to stem team breakaways -- with junior partners sparking the tension
Lawsuits by Merrill, UBS, Morgan Stanley have been spiking in recent months, according to industry observers and lawyers, and it can take precious time and big money to make them go away

Wednesday 10.23.13
James Gorman: This is a historic day for Morgan Stanley.

What 'historic' deal James Gorman really closed by paying Citigroup to release its tentacles from Smith Barney?
The implicit mission of Morgan Stanley in hiring the ex-Merrill Lynch brokerage chief was to switch market positions with Merrill -- and perhaps thats just happened?

Monday 6.24.13
When you're young with big assets and not much earning power, you're really a retired person with a long horizon.

How a suddenly wealthy, young Bay Area widow found her RIA after months of fruitless efforts
With a big life insurance settlement augmenting a considerable estate, this young mother had literally dozens of sit-down meetings and a hard-fought happy ending

Tuesday 4.23.13
Philip Palaveev: Wirehouses would be wise to explore the opportunity to brand the teams alongside the national brand and to create compensation structures that give team captains control over the hiring and compensation of their team members.

The 10 things Morgan, Merrill, UBS and Wells Fargo could do if they really, really wanted to stem the RIA tide
Advisors are happy to hand over the blueprint to wirehouses because they're certain the firms are too fainthearted to execute it

Tuesday 10.9.12
Christine Gaze: I was astounded by the culture.

TD Ameritrade poaches 'bowled over' Morgan Stanley Private Bank exec to fill key role
Christine Gaze has picked up best practices secrets in the full-service world that she's now taking to TD RIAs

Wednesday 4.25.12
John Straus: They'd say 'what we'd really like is to pick your brain.'

Former Morgan Stanley and UBS wealth management chief flirts with roll-up model then pivots to management consulting
John Straus knew there was a market for his expertise, but a funny thing happened on the way to becoming an aggregator

Tuesday 3.20.12
Jeff Grinspoon faced one interesting breakaway challenge relating to his 100 year-old grandmother.

Big Morgan Stanley team on the Beltway hightails it to HighTower on second thought
The learning curve required for complete independence looked unpalatable when it came to decision time

Wednesday 7.13.11
Ruth Papazian held top marketing positions at many of the industry's big-name firms.

LPL's chief marketing officer departs
Ruth Papazian made her mark in four years

Friday 5.27.11
Robert Rowe: "When we came on board within three months, we lost a $100 million portfolio because we couldn’t provide accurate performance capabilities. Right off the bat you’re absolutely dead."

Advisor sues Raymond James after he joins one RIA and forms another
Robert Rowe alleges he was misled into leaving Morgan Stanley with his 8-person team

Thursday 4.21.11
Jim McTague: We're going to have to get used to volatility, like we have to get used to the fact there may be radiation in our water from Japan.

Wake-up call: ETFs feel the heat of NASSA's exotics panel
Beloved for their stellar qualities by RIAs, they are nonetheless the casino chip du jour for many traders

Tuesday 3.29.11
Mag Black-Scott: After my responsibilities at Morgan Stanley, this business is sort of a pipsqueak. But now I have to look in the mirror and say "Get this done."

Advisor spotlight: A trailblazer at Morgan Stanley, Mag Black-Scott has a new RIA and an ambitious plan
The former wirehouse star wants 20-30 locations in five years

Tuesday 2.15.11
Fred St Laurent: As a small business owner, how many mistakes can you afford to make?

The hidden dangers of hiring a laid-off Merrill broker
Who you bring on board says volumes about your firm's brand

Monday 12.13.10
Mindy Diamond: Morgan Stanley has a supreme name and a swagger.

Counterpoint: Intra-Wall Street recruiting by Morgan Stanley Smith Barney has picked up in the past 60 days
Results of reinvigorated efforts may show up on Labor Day

Monday 8.9.10
Richard Stein tells the Times: Everyone thought the ice age had returned, but the thaw has come and we’re in catch-up mode.

The six key points about Wall Street's surprising employment picture
Hiring is on the rise and the picture is far better than most white-collar sectors, according to article

Thursday 7.15.10
Elliot Weissbluth: The Dean Witter and Morgan Stanley cultures never integrated so you have two cultures taking in a third culture – Smith Barney.

HighTower doubles recruiting staff and seeks green pastures of Morgan Stanley Smith Barney brokers
Unforeseen interest in potential breakaways accelerates plans of big aggregator

Thursday 4.22.10
Derek Bruton's hybrid RIA platform receives an endorsement from an unlikely source: Morgan Stanley

Top 10 findings of Morgan Stanley report include: Schwab as the best RIA custodian, LPL for highest advisor satisfaction
Wall Street's endorsement of the RIA model is a sign of the times in the industry, analysts note

Tuesday 2.2.10
Mike Durbin: "I think Fidelity has done the best job of speaking the language of the breakaway."

Focus shifts to Durbin at Fidelity as Goldman prepares to depart
With Goldman leaving, president of Fidelity Institutional will demonstrate his own brand of leadership

Wednesday 1.27.10
Barnaby Grist says that wirehouse data on attrition is accurate but not telling for breakaways

Schwab and TD Ameritrade pipelines brim with breakaway prospects
Growth rate accelerates despite slowing attrition at wirehouses

Tuesday 1.26.10
Elliot Weissbluth is turning his guns on the Los Angeles market now that he's secured $100 million

Weissbluth lands war chest for HighTower Advisors [Updated]
The $100 million haul means the Chicago company can battle wirehouses for talent on equal footing

Tuesday 1.12.10
Bob McCann sends a message that he wants to reward the advisors who stayed with UBS through the hard years

McCann plays his first cards as head of UBS
Keeping more brokers from leaving appears to be the priority

Wednesday 1.6.10
No vestige of the old brand name here

RIP Wachovia Securities brand name
Wells Fargo Advisors leaps to number three spot day one

Saturday 9.19.09

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