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Articles tagged "Finetooth"


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Bill Morrissey launched a 'disruption campaign' with a ferocity that startled some observers.

LPL Financial wages 'war' on Cetera, Securities America and Kestra after they pounced on NPH advisors in wake of sale

Unheard-of packages, tight targeting and unusual timing rock recruiters who marvel at the competitive behavior that has Bill Morrissey escalating an epic battle

April 12, 2018 at 6:39 PM

Andy Kalbaugh: This is not a new fee, rather a simpler way for both of us to administer the existing oversight fee.

Tensions build with OSJs after LPL Financial's 'about face' on held-away RIA assets and forced use of its corporate RIA

Can the Fort Mill, S.C. broker-dealer add 3,200 NPH advisors, make RIAs bend to its will and not break bad with giant partners?

September 6, 2017 at 12:09 AM

Christopher Norton: By working with the advisor and not the institution directly, the clients may perceive that they are protected from the shenanigans.

FiNet welcomes six wirehouse defectors at the apex of a withering Wells Fargo bank scandal that 'has legs'

Wells Fargo Advisors and FiNet ADVs warn of some cross-selling as RIAs eye Wells Fargo to see if the only wirehouse attempt to support independents will succeed, fail or end in confusion

September 29, 2016 at 7:15 PM

David Perkins: I've got people coming to work with a smile on their face again and they've got that swagger back.

After selling Hatteras Funds for $40 million last year, the original owner buys it back from scandal-torn RCS for $5.5 million

The 48-employee liquid alts firm just lost its giant distribution arm but manages to keep $1.8 billion of managed assets

November 23, 2015 at 6:47 PM

Ram Nagappan: Everything has a computer inside it, so the goal is to find simple ways to send data that is contextual.

INSITE 2014 unveils wired body armor for the advisor of the future as it rolls out a slew of NetX360 upgrades

Mark Tibergien delivered a personal challenge to advisors at the overflowing South Florida Pershing confab as INSITE announces plans to shift ground in '15

June 9, 2014 at 3:45 AM

Dan Arnold: Now that our footprint's in place [we're] moving into the third phase of our strategy in 2013.

LPL to Wall Street types: We're in phase three

At a Merrill Lynch forum, the IBD's CFO explains that Phase I was the mass accumulation of advisors and Phase 2 was about RIA-ification

May 20, 2013 at 2:47 PM

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

November 21, 2012 at 4:35 PM

Andrew Salesky will step up to oversee Schwab's ground game.

Schwab hits the nine-franchise mark as it seeks one new, first-rate chief to head it up

New franchises are hitting asset goals and five more franchises are in the hopper for launch

November 12, 2012 at 9:46 PM

Michael Hull: There's no question we were going to be together.

Brothers reunite as a $3.8 billion ex-Graystone team forms its own RIA

Morgan Stanley Smith Barney's elite consulting unit pushed out the older brother based on alleged wrongdoing and his younger brother spearheaded a breakaway to rejoin him

July 11, 2012 at 3:27 PM

Leslie Ferrone was impressed with how Merrill overcame its problems with women advisors but was repelled when it couldn't overcome creeping bank culture.

She settled with Merrill Lynch over discrimination, loved Merrill again for years but then bigger problems arose

A lover of the herd, Leslie Ferrone couldn't stomach the bankification of her wirehouse

May 7, 2012 at 5:04 AM

Danny Sarch: Some guys at Merrill have targeted this date for more than a year.

Merrill Lynch springs a 62-advisor, $13 billion asset leak in the first quarter

February was a cruel month for the wirehouse as payouts and retention bonuses came due; UBS came out smelling like a rose

April 17, 2012 at 5:25 AM

Brad Griswold: Many of the changes were beneficial to the [LPL] advisors as a whole, but did not offer as much value to our practice.

Why an 18-year LPL rep moved most of his firm's $250 million of assets to Schwab

Brad Griswold had a fondness for Schwab from using PortfolioCenter and is determined to remove all obstacles to growth, profitability and offering choice to clients

April 4, 2012 at 3:08 PM

Tim Oden: If this doesn't get you motivated to make calls every morning then you need to check your pulse.

Fed up wirehouse advisors more eager to leave than ever, study says

A whopping three out of four advisors would take a call from an RIA recruiter, the Schwab study shows -- but what then?

February 28, 2012 at 4:01 PM

Scott Curtis: Going over to the independent contractor model is kind of like going back to where I started.

With Dick Averitt retiring, Raymond James taps a star from within to take on LPL

Scott Curtis' background includes GE Financial, Raymond James and life as the son of a Dartmouth coach

December 8, 2011 at 6:13 AM

Scott Collins: I felt there was a better way. I had one [platform] I could sell. It was like an advisor showing one mutual fund.

Two former LPL execs set up a breakaway boutique that works with Raymond James and Schwab, among others

Flush with IPO cash, Scott Collins and Scott Miller were determined to have open-recruiting architecture and more counseling

July 29, 2011 at 2:29 PM

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