News

Graves-Light

$700m ex-Wells team tears off band aid in independence push

This Virginia wealth manager wanted out of the restrictive broker-dealer space and is taking calls from “anybody”

Max Viscio 5 hours ago
Ameriprise Stifel

Stifel hit with second fine for trading ahead

Finra penalized Stifel for the second time this year

Peter Rawlings 5 hours ago
Bernatz Zweig-DiMenna Ascent BNY

People Moves: BNY builds out Denver office, iCapital hires ex-Hatteras chief

The comings and goings of the private wealth space

Max Viscio 17 September, 2018

PCR inks deal with FundCount

Family office data aggregation provider Private Client Resources has inked its deal with FundCount

Max Viscio 13 September, 2018
PCR

Rockefeller launches wealth management unit with $1.2bn adviser group

Rockefeller recruits a $1.2bn ex-HighTower Group to launch its new unit

Max Viscio 12 September, 2018
Bapis

North Carolina bank launches RIA subsidiary

Wilmington-based Live Oak Bank is getting into the wealth management business, hiring three advisers from Wells Fargo and BB&T.

Max Viscio 10 September, 2018
Live Oak

Raymond James hires new RIA CCO from Janney

Christopher Thurston takes over from Mark Lontchar

Peter Rawlings 10 September, 2018
Raymond James

People Moves: CIBC’s new Newport Beach head, BNY Mellon hires two senior wealth directors

The comings and goings of the private wealth space

Max Viscio 7 September, 2018
Bernatz Zweig-DiMenna Ascent BNY

SunTrust’s Ohio market entry led by 21-year J.P. Morgan vet

SunTrust is bringing its wealth management unit to the Buckeye State

Max Viscio 27 August, 2018
SunTrust

Midwest advisers merger to create $5bn RIA

Sequoia Financial Group is merging with Troy, Michigan-based LJPR Financial Advisors

Max Viscio 24 August, 2018
Sequoia

Ameriprise fined $4.5m over fraud detection shortcomings

Five Ameriprise reps defrauded customers of more than $1m, the SEC said

Peter Rawlings 23 August, 2018
Ameriprise Stifel

Woodbury adds Colorado RIAs with $378m, preps for digital moves

Woodbury Financial Services has added two Colorado advisory shops to its network as parent company Advisor Group prepares to launch additional digital services on its platform

Max Viscio 22 August, 2018
Woodbury




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