Advisers on the Move

Analyze recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

Search Moves by Firm

Top Joining (Last 30 Days)

• Morgan Stanley Smith Barney LLC (2)
• RBC Wealth Management (2)
• Raymond James Financial Services (2)

Top Leaving (Last 30 Days)

• Morgan Stanley Smith Barney LLC (5)
• First National Capital Markets (1)
• Stifel, Nicolaus & Company (1)

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B-D Data Center

Explore the B-D Data Center to find exclusive information and intelligence about the independent broker-dealer industry.

What top-producers earn

1. Royal Alliance Associates Inc.
2. American Portfolios Financial Services Inc.
3. Ameritas Investment Corp.
4. Berthel Fisher & Company Financial Services Inc.
5. Broker Dealer Financial Services Corp.

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White Papers

Print Edition

• Inland 'cooperating fully' with SEC investigators, chairman says
• GOP: House vote on cuts to forestall 'taxmageddon'
• Advisers may 'like' Facebook - later
• Ex-NAPFA head hit with fraud rap
• Employee millionaires will need assistance with tax, planning basics
• Cost stance at Vanguard lures cash

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Issue Archive

• Sunday, May 20, 2012
• Sunday, May 13, 2012
• Sunday, May 6, 2012

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Investments

Advisers may 'like' Facebook - later

Despite the hoopla surrounding Facebook Inc.'s blockbuster initial public offering, many financial advisers did their best to steer clients away from the social-networking giant's shares, pointing to an over-the-top valuation and record levels of insider trading. “With over...

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• Ex-NAPFA head hit with fraud rap
• Employee millionaires will need assistance with tax, planning basics
• Cost stance at Vanguard lures cash

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Broker-Dealers

brokersXpress not an option for Schwab

Some 325 brokers and registered investment advisers are hustling to find new homes in the wake of The Charles Schwab Corp.'s announcement last week that it is closing down brokersXpress LLC, an independent broker-dealer for representatives and financial advisers who trade options....

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• Finra checks off more boxes with improved BrokerCheck
• LPL taps new human capital officer
• LPL's 401(k) rollover program could boost LPL's rollover capture

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Your Practice

Hopes for Tamarac deal: A 'one-stop portal' for front and back offices

Schwab Advisor Services said last week that Tamarac will be the latest “selected participant” to be added to its lineup of advisory platforms. It is time to add some context. Those platforms, known collectively as Schwab Intelligent Integration, have been ...

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• When handing off a practice, beware of fumbles and stumbles
• Advisers telling clients to avoid 'most hyped IPO in history'
• 'Guy in the hoodie' raises $16B in second biggest IPO ever

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Retirement & Insurance

Dilemma for Ford retirees: Monthly check or lump sum?

About 90,000 white-collar retirees of Ford Motor Co. and the financial advisers who help them are facing a major decision: continue to receive a monthly check from the defined-benefit pension plan or leave the plan by taking a lump sum that the auto giant will likely offer over the next 30 to 60...

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• Wealthy clients seek safe place to park cash
• No easy fix to withdrawal rates in retirement
• Young workers want sure things as 401(k) options

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RIAs

Are incentive fees coming to funds?

Boy, what a difference 25 years makes in the world of fund taxation. When my firm launched the first long/short fund in 1986, we had to contend with several constraints: the “short short” rule, which I will explain in a moment, a limitation on shorting stocks, a severe limitation on...

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• Schwab to close brokersXpress
• United Capital dialed in to different type of asset with Pomeranz buy
• Want a smaller tax bite in retirement? It all depends on where you take income from

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