Financial Advisor Blog - Page 1

Merrill Lynch Raises Growth Award Requirements While Expanding Banking I...

October 26th, 2026
Merrill Lynch will keep its core compensation grid unchanged in 2027 but will require advisors to meet higher growth targets to qualify for its gro...

Read More about Merrill Lynch Raises Growth Award Requirements While Expanding Banking Incentives for 2027

Bank of America Downgrades Ameriprise on Advisor Departures and Retentio...

October 21st, 2026
Bank of America analysts downgraded Ameriprise Financial to Underperform from Buy on Monday, citing concerns that large-team departures and rising ...

Read More about Bank of America Downgrades Ameriprise on Advisor Departures and Retention Costs

SEC Approves FINRA Rule Change Allowing Performance Projections in Broke...

October 20th, 2026
The Securities and Exchange Commission (SEC) approved a FINRA rule change that will allow brokers and their firms to include performance projection...

Read More about SEC Approves FINRA Rule Change Allowing Performance Projections in Broker Marketing

Rockefeller Recruits $1.2 Billion Truist Team in Naples

October 19th, 2026
A billion-dollar advisory team, the Kellam Group, has left Truist Bank, for Rockefeller Global Family Office in Naples, Florida.

Read More about Rockefeller Recruits $1.2 Billion Truist Team in Naples

Shook Research Rebrands as Veritant and Plans Return of Forbes Advisor R...

October 15th, 2026
Shook Research has rebranded as Veritant and plans to resume its advisor rankings with Forbes later this year.

Read More about Shook Research Rebrands as Veritant and Plans Return of Forbes Advisor Rankings

Wirehouses See Accelerating Financial Advisor Departures in 2026

October 8th, 2026
Financial advisor movement accelerated in the first half of 2026, with the four major wirehouses posting a combined net loss of 517 experienced adv...

Read More about Wirehouses See Accelerating Financial Advisor Departures in 2026

FINRA Panel Orders Ameriprise Advisor to Pay Former Colleague $450,000

October 7th, 2026
A Financial Industry Regulatory Authority (FINRA) Dispute Resolution Services arbitration panel ordered veteran Ameriprise advisor Erin Cannell to ...

Read More about FINRA Panel Orders Ameriprise Advisor to Pay Former Colleague $450,000

Wells Fargo Advisors Moves to Further Reduce Producing Manager Roles

September 30th, 2026
Wells Fargo Advisors plans to further reduce the number of managers who not only manage the office but also maintain client books.

Read More about Wells Fargo Advisors Moves to Further Reduce Producing Manager Roles

Investment Adviser M&A Activity Slows After Record First Half of 2026

September 25th, 2026
Merger and acquisition activity among registered investment advisers slowed sharply in the third quarter after the industry posted a record first h...

Read More about Investment Adviser M&A Activity Slows After Record First Half of 2026

UBS Provides Retirement Incentives in its 2027 Compensation Plan

September 24th, 2026
UBS Wealth Management USA will leave its core advisor payout grid unchanged in 2027 while expanding retention and growth incentives.,.

Read More about UBS Provides Retirement Incentives in its 2027 Compensation Plan

About Us
Whatever the next step is for your practice, ensure it remains your practice with the experienced transition consultants at Financial Advisor Transitions. Let us assess your wants and needs and help negotiate the best transition plan to propel your practice forward.
Follow Us
Continue to prosper. Keep up with us on social media.
  • facebook
  • google
Contact Us
Copyright 2026 Powered by Epic Web Studios
Home
About
How Can We Help?
FAQs
Blog
Contact