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Articles tagged "Wells Fargo"


Jeffrey Fratarcangeli is the dream FiNet recruit -- big assets from a big rival.

The perplexing case of Wells Fargo's non-wirehouse advisors: A blueprint for Merrill, UBS and Morgan or a cheap lesson in what not to do
The good news is that FiNet is the fastest growing channel at Wells Fargo; the bad news is that its brand and compliance can be hindrances

Tuesday 7.29.14
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
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
Erik Strid will head the new company and execute under a new brand and plan after what he calls a decade of pseudo independence.

Schwab wins $350-million Philly RIA from Wells Fargo Profit-Formula program with Dynasty Financial's help
The Main Line Strids set the stage for a succession plan and a new round of growth from a King of Prussia perch

Thursday 2.20.14
Rob Bartenstein says wirehouses are better competitors than they're given credit for -- and not the boiler rooms they are reputed to be.

Washington Wealth, now part of the LPL OSJ realm, annexes a $220-million-AUA team in Seattleland
The ex-Wells Fargo team chose the name Kimball Creek to highlight its Northwestern roots -- but it's also a metaphor for the high the stakes their clients face

Tuesday 8.27.13
Nathan Sonnenberg is the first member of the Fortigent executive suite to depart since the firm was bought by LPL five months ago.

Two top Fortigent talents leave in the same week as industry-watchers ask: Was it them or was it LPL?
The LPL-owned investments outsourcer may not replace CIO Nathan Sonnenberg and alternative investments director Robert Mileff

Thursday 8.30.12
Gregory Curtis: You have to stick to your knitting even if it costs you business -- which it will.

An $18-billion RIA tacks on a $24-billion U.S. Trust cast-off as the grab for UHNW magnets continues
Harris myCFO continues a shrewd strategy of serving the very, very rich as it puts CTC Consulting into its arsenal

Thursday 5.3.12
Kathleen Stewart: The industry and banks are always in a state of flux, and that's something you live with every day.

fi360 lures an executive away from Wells Fargo Private Bank to help thousands of advisors deliver fiduciary care
Kathleen Stewart wore many hats at the big wealth manager and has worked for an RIA and Goldman Sachs alike

Friday 4.20.12
Paulo Coelho: This is obviously a long-term move for me and my career.

In its latest talent grab, Evercore Wealth Management hires a 'young, up-and-coming player'
The $3.2 billion RIA is mostly made up of seasoned of ex-U.S. Trust stalwarts but its poach of Paulo Coelho from Convergent shows its mindfulness of the coming generation

Monday 4.9.12
Jim Steiner: I think it’s harder for RIAs to compete [in the UHNW market].

Wells Fargo targets tempting but treacherous UHNW market with Abbot Downing launch
With $33 billion of assets and legacy Lowry Hill and Calibre elements, the unit plans to hit the ground running and compete in a realm where RIAs are only starting to make a dent

Monday 4.2.12
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
David Lindenbaum : Our platform is growing and is being used in a way that helps the largest clients of our RIAs

Schwab steals a big chunk of SMA market share from wirehouses, according to new Cerulli data
Taking Wells Fargo's No. 4 spot in the SMA pecking order, the San Francisco dark horse is looking to advance still further

Thursday 11.10.11
The 325-plus exhibiting firms connected with a sea of humanity in IMPACT's 2011 expo

An advertiser's-eye view of Schwab IMPACT and the mini-city of marketing it created
Three days of conversations, recycled swag and ancillary events

Monday 11.7.11
Mark Green: These people have really sort of fallen into our lap because of all of the change happening at Lowry Hill.

Giant Indiana RIA is the latest to take a bite out of Wells Fargo's UHNW unit
The defection of five advisors will allow $16-billion Oxford Financial Group to open a Minneapolis office

Wednesday 9.14.11
Bob Belke says he sees opportunities for scale and efficiency.

Why exactly private equity firms are dumping money into IBDs at a time when many are going bust
Flush PE firms see the broker-dealers as poised for growth, but others fear such purchases could lead to 'pump and dump' scenarios

Friday 9.2.11
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
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
John Peluso: "We believe in choice."

FiNet's wirehouse-lite model scores with advisors
Investment in recruiting pays off with highest average assets among IBDs

Thursday 5.12.11
Andrew Lin rejoined his old RIA firm after a stint at United Capital and wasted no time setting a new technological and strategic series of events in motion.

How five recent RIABiz articles caught readers' attention and what bigger stories they tell
If advisors blinked in the last two weeks, telling chapters of growth slipped by

Thursday 4.28.11
David Lucas: They call it cross-selling, but it’s really pestering.

Why one Wells Fargo defector had no use for wirehouses, IBDs or the RIA model
David Lucas chose Raymond James for a supportive, collegial place to ply his commission-based trade

Friday 4.1.11
Elizabeth MacBride: Sometimes, we even get to hear the end of the story: an idea that has leaped from the online world to spur action.

Ideas born in the advisory world that flew far in 2010
How one conversation influenced NYC economic policy

Thursday 12.30.10
Craig Gordon is making sure that the Royal Bank of Canada gives RIAs all benefits of scale enjoyed by the company's staff brokers.

8 ways that the RIA business is achieving scale at breakneck speed
IPOs, venture capitalists, RIAs and big corporations are all spending heavily to make it easier for RIAs to become big business

Wednesday 8.4.10
Joe Perry: The way  JHS presented its ethical guidelines helped win his business.

A decade of baby steps led a broker from Merrill Lynch to a three-office hybrid of his own
Potomac Investments now uses broker JHS, where an ethics policy carried the day

Thursday 7.29.10
Barron's Top 100 advisors paid for their own Ritz-Carlton rooms but didn't seem to mind

Enthusiasm simmers in the wake of the by-invite-only Barron's Top 100 conference
The purity of the all-independent crowd was palpable, powerful for attendees

Monday 4.26.10
John Peluso: The success all of us have had in the independent channel has raised the profile.

Wells Fargo's Finet deepens recruiting team, adds regions
Record year, marketing study led to investment in more staff

Thursday 4.22.10
John Peluso: He leads a network that offers a middle way when it comes to independence.

Wells Fargo emerges as independent channel competitor
Third-largest wirehouse had a banner year in 2009, in space inhabited by LPL, Raymond James

Thursday 4.15.10
John Choudhary and Anne-Day McCabe found Wells Fargo's fixed income and bond selections particularly strong.

A young advisory pair escaped wirehouse cost cuts to land at Wells Fargo
Moving from one tarnished brand, UBS, to one of the strongest in the business

Thursday 4.1.10
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

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