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Articles tagged "Convergent"


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Todd Cipperman: It’s always a difficult issue when asking your own boss about outside activities.

A wider window opens on David Zier tragedy as Convergent is made to pay and FINRA and SEC make themselves scarce

The life insurance on the suicide was executed with chilling precision by the ex-CEO and the CFTC was called in to do the regulatory dirty work

January 6, 2017 at 10:46 PM

Steve Lockshin: The long play is as this generation of advisors turns over that we’ve created the time and space for advisors to focus on things that give their clients joy.

Debriefing a post-Convergent Steve Lockshin as he once more builds a classic RIA -- or is it neo-classical?

AdvicePeriod's chief says he won't poach Convergent (if he can avoid it) and hopes that his $300-million RIA will have a Betterment feel

January 8, 2015 at 5:55 PM

Doug Wolford: ...That's one of the things that you can do when you put in place a professional management structure, which we're doing in the next five years.

With Convergent experiencing advisor exodus, City National takes greater control of the RIA

Doug Wolford gets a vote of confidence from his City National-controlled board of directors and he references a new five-year plan of creating a 'professional management structure'

December 6, 2014 at 10:53 PM

Doug Wolford: I believe that our full and fast response to this situation will in time become a model for the industry.

Convergent Wealth begins to pick up the pieces after David Zier's death

The $9.4-billion RIA is said to be facing massive challenges in retaining advisors and clients -- rumors discounted by CEO Doug Wolford

November 4, 2014 at 6:02 AM

The MarketCounsel Summit convened many kings of the jungle.

The 2013 MarketCounsel Summit is heavy on future shock

A Cassandra-like Steve Lockshin lead the gloomsters, Team Tech protested that the future is bright and Frank & Dodd laid an egg

December 16, 2013 at 7:44 AM

Jamie McIntyre: The out-of-pocket fees can be almost zero because we've embedded it into the investment management fees for research.

An LPL-ified Fortigent bursts back on the scene with new software, new pricing and a surge of growth

After a tense waiting period, the outsourcer is unveiling alternatives to six-figure research contracts and the launch of an online portal for all services

October 14, 2013 at 5:13 AM

Chip Roame: The problem is, the people with the debt aren't the same people who have the assets, so per capita we're very overleveraged.

Chip takes a 90-minute rip at wealth management at the Tiburon CEO Summit

The event's name oozes self-importance until Roame takes the stage and blasts everybody, himself included

October 9, 2013 at 6:43 PM

Steve Lockshin: I think we were surprised at the resistance from the entire industry.

What led to Advizent's end and why Steve Lockshin is unfazed, even energized

The RIA business -- including custodians, asset managers and advisory firms -- lived up to its reputation of resisting cooperation

May 15, 2013 at 11:00 PM

Charles Goldman: Once you take someone else's money, you have a commitment.

Advizent will close its doors after a final flurry of negotiations

Charles Goldman and Steve Lockshin had a moment of truth after receiving offers for funding

March 28, 2013 at 11:43 AM

Jack Bogle is the first of seven big names that Advizent plans to put on its board.

Advizent makes Jack Bogle its standards czar, a no-pay, no-conflict position

The RIA brand will depend on a gold standard of rules and audits

July 31, 2012 at 11:30 AM

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

April 9, 2012 at 2:20 PM

Roger Hartley and Keith Mitchell: We are fairly eclectic in terms of the types of businesses we think we can be helpful with.

New M&A firm with Putnam Lovell alumni appears on the wealth management landscape

Mitchell Hartley straddles world of asset management and wealth management

February 23, 2010 at 6:19 AM

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

January 5, 2010 at 7:26 PM

Charles

Charles Schwab will speak and his fellow CEOs will listen

Schwab chairman gets short-changed one award, says other recipient

October 2, 2009 at 4:57 AM

John Furey: Breaking away can still be a rough passage

The transition process is still too rough for gusher of breakaway advisors

Aggregators are showing the way in smoothing the bumps

August 24, 2009 at 4:57 AM

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