Financial Advisor Blog - Page 2 - Financial Advisor Transitions

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Rockefeller Hires $9.1 million Team from Morgan Stanley

January 13th, 2022

Rockefeller Capital Management began its 2022 recruiting season by hiring a Morgan Stanley team that produced $9.1 million in annual revenue from $...

Wells Fargo Thanks External Recruiters

January 12th, 2022

Wells Fargo Advisors ended 2021, thanking 27 outside recruiting firms for their "focus and continued partnership."

Study Finds That Misconduct of Investment Advisers Spikes After Private ...

January 11th, 2022

According to a recent academic paper, advisers at registered independent advisory firms (RIAs) with private equity stakeholders are more likely to ...

Surge in RIA M&A Activity Expected to Continue in 2022

January 10th, 2022

In a recent survey conducted by DeVoe & Co., 63 percent of Registered Investment Advisors (RIAs) stated they expect merger-and-acquisition (M&A) ac...

"Great Resignation" Should Not Include Financial Advisors

January 7th, 2022

The wealth management industry is not immune to the nationwide "Great Resignation."

Morgan Stanley, Robinhood Blur Further Lines Between Self-Directed and T...

January 6th, 2022

Morgan Stanley recently unveiled its E*Trade branding, changing the logo color to mix the parent company's light blue with its 2020-acquired self-d...

Wells Fargo's Chief Risk Officer to Retire

January 5th, 2022

Amanda Norton Wells Fargo & Co. Chief Risk Officer is resigning after four years in the position of chief risk officer.

JP Morgan and Other Large Banks Delay In-Person Returns to the Office

January 4th, 2022

The highly transmissible omicron variant of the COVID-19 virus has prompted many executives to reconsider having employees return to the office.

FINRA Proposes to Maintain Business Continuity Rule

January 3rd, 2022

After conducting a "Pandemic Review", the Financial Industry Regulatory Authority (FINRA) will leave Rule 4370 (Business Continuity Plans and Emerg...

Wall Street Ends 2021 with Big Bonuses

December 23rd, 2021

According to WealthManagement.com, the biggest U.S. banks are wrapping up on their most profitable year and preparing to distribute significant bon...

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Driving Factor Behind Rockefeller Capital's Success

January 27th, 2022

Under the leadership of Greg Fleming, Rockefeller Capital Management has rebranded, breathing new life into a family office legacy.

Morgan Stanley and Merrill Lynch Set Records

January 26th, 2022

Both Morgan Stanley and Merrill Lynch have set records in 2021 for asset growth and revenue growth, according to Financial Planning.

Wells Fargo Enters 2022 With Fewer Advisors and More Confidence

January 25th, 2022

According to Wells Fargo, their Wealth and Management unit lost 1,146 registered representatives from either Wells Fargo Advisors or its Private Ba...

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