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Articles tagged "Morgan Stanley Smith Barney"


Howard Edelstein: Sometimes, the CEO needs a little help.

BondDesk Group chairman takes on CEO role and shifts focus to wealth management and capital markets
The reshuffle, which brings aboard an ex-MSSB vice chairman, is no prelude to a sale new chief Howard Edelstein insists

Thursday 11.1.12
Mag Black-Scott: We want to be in major cities where there is a good opportunity. That will take us to the East Coast eventually.

RIA items of interest: Mag Black-Scott expands beyond Beverly Hills and BAM adds an advisor who contributes to The New York Times
Two advisors who vowed to grow are showing some signs of doing just that

Wednesday 2.15.12
Jim Pupillo: I looked at several vendor platforms to support us if we went completely independent.

HighTower stages its first raid of Morgan Stanley Smith Barney's elite consulting unit
A famous loyalist, Jim Pupillo crusaded for years to bring about change internally at Smith Barney before finally defecting

Tuesday 1.24.12
HighTower plucked Ann Reider from an MSSB  branch in close proximity to HighTower's Chicago headquarters

Casting a wider net for talent, HighTower poaches an MSSB branch manager
After three years of relentlessly recruiting brokers from Wall Street firms, the strategic buyer will go to wirehouses to top off its managerial talent

Friday 10.21.11
Lori Van Dusen has been thinking about starting an RIA for 20 years but the 'pieces' couldn't be assembled to her liking, until now.

Dynasty Financial wins the account of Lori Van Dusen's new RIA through Focus Financial
The arrangement holds the possibility of a symbiotic advisor-vendor relationship between the wealth management platform and the big aggregator

Tuesday 10.18.11
Dave Loeper: If advisors are using our process, they need to make sure they have the appropriate rights to it.

David Loeper is taking on UBS but his patent lawsuit is raising alarms in the RIA business
A pitched battle over the uniqueness of a financial planning process could result in thousands of advisors paying royalties

Thursday 8.11.11
Elmer Rich: Using scripted content to advertise your firm- as Morgan Stanley recently did - is a common mistake among financial services firms and advisors.

Social media is effective with ultra-wealthy clients but forget the Morgan Stanley approach
Social media checklist needed to effectively reach out to wealthy clients

Tuesday 7.5.11
Elliot Weissbluth: I can tell [advisors] life is better for you outside of the wirehouse and I didn’t know this fact three years ago.

HighTower dangles array of hedge funds to lure breakaways
Wirehouses have nothing on independents when it comes to access to hedge funds, firm says citing three-year study

Thursday 6.23.11
Robert Schein: Ten advisors called me. They said: 'You guys moved.' What more is there to the story?

HighTower is starting to run the poaching table in Palm Desert
The Chicago firm's phone is ringing after it wins a top Morgan Stanley team on the heels of nabbing Merrill breakaways

Thursday 6.2.11
Tony Sirianni: “The big firms don’t see the value in (branch managers), which is crazy because that’s how they built themselves.”

Former MSSB exec powers up Washington Wealth Management as branch-manager franchise
RIA structured as an independent branch network rises in Virginia's horse country on Fidelity platform

Monday 4.11.11
Ed Orazem was one of a fistful of former Citi executives that Alan Harter got back in his camp.

How Harter broke away from Morgan Stanley Smith Barney to find new vendors -- and found old friends
Citi wealth management alumni are deeply entrenched at Fidelity and Dynasty Financial Partners and working on better mousetraps

Wednesday 2.9.11
Alan Harter: Nobody looks at me like I have three heads.

Why an elite Morgan Stanley Smith Barney advisor jumped ship and plans 10 offices around the globe
Breakaway is using high-profile startup Dynasty to access key vendors

Tuesday 2.8.11
Frank Braddock: I said we needed a robust trading platform and the best research. Look, losing the smarts of MSSB would hurt.

A Morgan Stanley Smith Barney breakaway stepped off the wirehouse carousel to keep in touch with his clients
A former radio star, Frank Braddock prides himself on being able to get to know people within the intimate orbit of money

Wednesday 12.15.10
Barnaby Levin: When Morgan Stanley bought Smith Barney, their priority was to integrate platforms.

Inside the mind of one recent Morgan Stanley Smith Barney breakaway who landed at HighTower
Barnaby Levin chafed at how the wirehouse restricted the way he could serve a client list made up of top execs at start-ups

Monday 12.6.10
The CFP Board of Standards is co-sponsoring a conference to bring top academics, industry thinkers in front of regulators. Kevin Keller, CEO, says advocacy groups can't afford to take a break now.

How a surprising array of advisor groups aims to catch the SEC's ear
A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business

Monday 9.13.10
John Meunier: Evidence that the great migration among advisors is over is the fact that, on average, advisors’ satisfaction with their firm is up 15% over last year, with the biggest uptick noted among the national wirehouse representatives.

Finding greater advisor satisfaction at the wirehouses, Cogent study concludes the breakaway surge is over
For the first time in history, the majority of advisory compensation comes from fees; plus 9 other findings from one of the year's most ambitious surveys

Wednesday 9.1.10
Chet Helck: We are still attracting top-tier advisors

Raymond James wins breakaway brokers that are 'pragmatists'
With the get-me-out-of-here mentality mostly gone, a breakaway of a more deliberate stripe steps forward, recruiter says

Saturday 2.13.10
Howard Diamond [with wife Mindy's hand on shoulder]: Ms. Krawcheck should not exhale so quickly

What comments by Krawcheck and Gorman about improving wirehouse attrition leave out
Breakaway trend appears as vital as ever and asset flows are in reverse

Friday 1.22.10
Hybrid tomatoes have their advantages and so do hybrid RIAs

5 Reasons why the hybrid RIA model may be a bigger deal than ever
Someday all advisors could be hybrid-like under FINRA

Thursday 1.14.10
Mindy Diamond: A home run for RIAs and recruiters

Page One Wall Street Journal article is a 'home run' for the RIA industry
Story's impact could exceed New York Times article about Smith Barney breakaway two years ago

Tuesday 1.5.10
Sean Walters: [Advisors] want to stay abreast without paying $6,000 to $7,000

Once a haven for fee-minded wirehouse brokers, IMCA is becoming a melting pot of advisory channels
IMCA conferences -- focusing on investment, wealth management -- are the sole reason that many new members join

Tuesday 12.1.09
Barnaby Grist: “The success of independent investment advisors has not gone unnoticed by the industry at large."

10 ways that a new Schwab study demonstrates a nation of willing breakaways behind brokerage curtain
Brokers who know a breakaway like the idea of independence

Friday 11.20.09
Doug Swope: There’s no independence per se [at a wirehouse]. You’re [restricted] by the [inventory of] products.

Independent-within-Smith Barney breaks away after hitting wall
Former Smith Barney peers light fuse for Swope independence

Wednesday 11.18.09

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