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       * * Surging Dollar Stirs Markets Buzz of a 1980s-Style Plaza Accord
       * * Finra, SEC Officials Outline Pitfalls for Firms in Reg BI Exams
       * * Ex-Morgan Stanley Broker Suspended After Making $360K from Day
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       * * Rockefeller Swipes $17-Mln Morgan Stanley Broker Out from Under First
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       * * Two UBS Teams with $16.5 Million in Combined Revenue Break Away in
           NYC
       * * Merrill Loses $536M Illinois Trio to Stifel, $350M New Jersey Duo to
           RIA
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       * `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
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Finra, SEC Officials Outline Pitfalls for Firms in Reg BI Exams
Ex-Morgan Stanley Broker Suspended After Making $360K from Day Trading
Newsletter
US Pries Into Over 100 Trader and Banker Phones in Texting Probe


MUST READ

Resources

Hilltop Securities: Municipal Bonds are an Exceedingly Appealing Fixed Income
Opportunity Right Now
Breakaway Center

The Key to Building a Sustainable Enterprise: Attract and Retain G2 Advisors
Markets Resource

Paul Dietrich’s Market Commentary – B. Riley Wealth Management: America is
Moving Into a New Era of Investing
News

Surging Dollar Stirs Markets Buzz of a 1980s-Style Plaza Accord


Video

Benjamin F. Edwards: Three Things to Know & Watch – May 16, 2022
Video

Benjamin F. Edwards: Three Things to Know & Watch – May 9, 2022
Video

Benjamin F. Edwards: Fed Rate Hike Update – May 4, 2022
Video

A New Focus on Financial and Legacy Planning



MARKETS

Markets Resource

Bank of America Clients Hoard Cash at Highest Level in Two Decades
Markets Resource

Benjamin F. Edwards: Grin and Bear It
Many stock market media outlets have recently described how the S&P 500 Index
(SPX) narrowly missed entering a bear market at its low last week....
Markets Resource

JPMorgan’s Kolanovic Says Stocks Will Rise on Pandemic End, China Stimulus
There are two things that give Marko Kolanovic confidence in his bullish stocks
call for 2022, even after a difficult start to the year for...
Markets Resource

NYC Billionaire Catsimatidis Warns of Looming East Coast Diesel Rationing
The diesel crisis in the US may get worse this summer with the potential of
shortages and rationing on the East Coast, said billionaire refinery...
Sectors

World Takes Cover From Stock Chaos in Oil, Utilities and China
(Bloomberg) -- Optimism may be in short supply for equity investors caught in
the downdraft of volatile global markets, but pockets of shelter are
emerging....


FA PROFILES

Advisor Profiles

Bill Krivicich Builds an RIA Practice with an Eye on Multi-Generational Wealth
When William (Bill) J. Krivicich talks about legacy, having clients for decades,
and ultimately working with their kids, the authenticity is palpable. Krivicich
has put...
Advisor Profiles

Valbona Ceci, CFP®, Proves the American Dream is Alive and Well
The odds were stacked against Valbona Ceci, CFP®, from the beginning. Born and
raised in Albania, her command of the English language was shaky at...
Advisor Profiles

Guy Spier on Rethinking Value Investing
Every February, Guy Spier, the founder and Chief Investment Officer at
Aquamarine Capital Management, throws a party for his investors, partners, and
friends, who have...
Advisor Profiles

Advisors ‘Outwork’ the Competition to Build a Successful Practice
Serendipity led Jeremy Lambert to connect with Michael Porter and their creation
of Chesapeake Wealth Advisors, an eight-person team in Greenville, Delaware. “I
needed a...


ADVISORHUB MAGAZINE

Magazine Article

The Great Entrepreneur Revival
Magazine Article

An Intensely Personal Business
Magazine Article

Penny Pennington: Shaping a New Advisor World
Magazine Article

Big Cap Tech ETFs Buffer Rising Rates Better
Magazine Article

The Power of Choice
The momentum of advisor transitions has continued to develop at such a rapid
pace that it is not a matter of if an advisor will...
Magazine Article

Active Management For Retirement Income
Central bank officials have signaled more target interest rate hikes starting in
2022, and continuing through 2023. Savers must navigate an environment where
yields are...
Magazine Article

A Year in Transition
The past twelve months have been hectic for breakaway advisors and recruiters.
In 2021, the number of RIAs jumped by 3,280 and IBDs grew by...
Magazine Article

How Hilltop’s John Muschalek Came to Own the Street You Live on
Who? What if I told you that the number two muni firm in the nation was also the
third largest clearing firm in the country,...


RECRUITMENT & MOVES

Recruiting Wire
See Which Firms Are Winning the Recruiting Wars
AdvisorHub Offers
Secure Multiple Offers From Top Broker-Dealers
Deal of the Day
Upfront payment: up to 100% cash and up to 100% in equity
Press Release

Benjamin F. Edwards Opens 87th Branch – Its 2nd Branch in Wisconsin


UPFRONT DEALS AND COMP

1. Avantax Wealth Management
May 17, 2022
2. Alaris Acquisitions
May 11, 2022
3. RBC Wealth Management
Dec 29, 2021
4. Stifel
Nov 14, 2016
5. Benjamin F. Edwards
Sep 13, 2021
6. Edwards Wealth Management
Sep 13, 2021
7. Kestra Private Wealth Services
Jun 22, 2021
8. B. Riley Wealth Management
Aug 9, 2018
9. Mariner Wealth Advisors
Jul 14, 2020
10. First Clearing
Jun 2, 2021
11. D.A. Davidson
Mar 14, 2018
12. Dynasty Financial Partners
Nov 14, 2016
13. Ameriprise Advisor Group
Jun 22, 2021
14. Ameriprise Independent Advisors
Jun 22, 2021
15. Pinnacle Investments
Jun 9, 2021
16. Janney
Nov 14, 2016
17. LPL Financial
Nov 14, 2016
18. Mariner Platform Solutions
Jul 14, 2020



BREAKAWAY CENTER

Breakaway Center

Create a Content Marketing Strategy to Win Clients
As an independent financial advisor, you know the growth of your business hinges
on a steady stream of new clients. One way to ensure that...
Breakaway Center

Setting Your Firm Up for Success: Choosing an Office Setup
By now, we’ve all seen that we can work—and even thrive—in a remote environment.
If you’re considering opening your own independent firm, you may wonder...
Breakaway Center

Preparing for the Unexpected: Your Business Continuity Planning
As an independent advisor, preparing for an emergency is a critical part of your
business plan. Although you can’t predict natural disasters or other
disruptive...
Breakaway Center

$18-Mln UBS Team Led by Top-Ranked Alabama Broker Breaks Away to Launch RIA
A UBS Wealth Management USA team producing $18 million in annual revenue and led
by a top-ranked broker in Birmingham, Alabama left the wirehouse to...


RIA CENTER

RIA Resource Center

How Much Can You Grow as an Independent Advisor?
  What's going independent really like? Two advisors discuss their newfound
growth in the RIA channel.
RIA Resource Center

What to Expect When Transitioning to Independence
  The day advisors leave their previous firm is one they never forget. Here are
their experiences.
RIA Resource Center

For today’s firms: 4 tech strategies as told by the advisors themselves.
The right tech can make life a lot easier. Learn more about cultivating it for
your firm here.  
Fintech
Fintech Product Directory
Browse this directory of innovative fintech and wealthtech solutions to find
what fits the unique needs of your business.


MOST READ

1. Finra, SEC Officials Outline Pitfalls for Firms in Reg BI Exams
May 18, 2022
2. Ex-Morgan Stanley Broker Suspended After Making $360K from Day Trading
Newsletter
May 18, 2022
3. Finra Sets Year-End Deadline for More Flexible WFH Rules
May 17, 2022
4. Firms Fire High Risk Brokers as Finra Takes Aim at Rogue Actors
May 17, 2022
5. Focus Financial Board Member Sues J.P. Morgan over $7M in Pandemic Losses
May 12, 2022



PODCASTS

 
The must listen-to podcast for financial advisors by Tony Sirianni. Guests to
include:
-Ron Kruszewski
-Shirl Penney
-Penny Pennington
-Eric Clarke
and many more

Valuable information and insight for entrepreneurs and financial advisors.
LPL Financial Research Chief Market Strategist Ryan Detrick and guests discuss
current market trends and outlooks, and share insightful projections each week.
Michael Kitces and Carl Richards discuss financial advising topics.
Our goal is to unlock the challenges to reveal the opportunities and what it
means to provide advice in the 21st century.
Powering Independence Podcast, insights and ideas for RIAs, presented by Dynasty
Financial Partners. A podcast dedicated to presenting fresh ideas and best
practices for the wealth management industry.
Interviews and insights for advisors curious about switching to a new broker
dealer.
The Brighthouse Financial Insights Panel is a group of leading, independent
experts providing powerful insights into the big challenges facing you and your
clients.
As an industry expert, Frank LaRosa provides guidance and advice on a host of
topics from recruiting and transitions, succession planning, practice
management, M&A and more.
The “new advice value stack,” and how firms can use it to help maximize their
own value propositions for their clients.
No More Entries


PODCASTS

Podcast

A Conversation with Aditi Javeri Gokhale of Northwestern Mutual
This week, AdvisorHub’s CEO, Tony Sirianni talks with Aditi Javeri Gokhale —
EVP, Chief Strategy Officer, President of Retail Investments and Head of
Institutional Investments...
Featured Podcast

How We Get Paid (And Why That Matters)
Every year, thousands of advisors make a big career move. Some go from a
wirehouse to a broker-dealer or wirehouse to RIA, and some move...
Featured Podcast

Mad Libs for Advisors
If you are an advisor considering making a move, you undoubtedly have a wish
list of the cultural, financial, and operational benefits you want your...
Featured Podcast

Is the Fed Put Dead? | LPL Market Signals
LPL Research discusses the tough spot the Federal Reserve is in and looks at
some recent mixed economic data. LISTEN TO ADDITIONAL EPISODES IN THIS...


RECRUITING WIRE SCOREBOARD

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Recruiting Winners
AUM ($ MLN)
1. Rockefeller Capital Management
$7,955

2. Cetera
$4,301

3. LPL Financial
$3,156

4. Janney Montgomery Scott
$3,057

5. Stifel, Nicolaus & Company, Incorporated
$2,967

View Full List >
Recruiting Losers
AUM ($ MLN)
1. Merrill Lynch, Pierce, Fenner & Smith Incorporated
$8,651

2. Wells Fargo
$6,324

3. Morgan Stanley
$5,097

4. Royal Alliance Associates, Inc.
$2,385

5. UBS Financial Services Inc.
$1,767

View Full List >
Recruiting Champs (net)
AUM ($ MLN)
1. Rockefeller Capital Management
$7,955

2. Cetera
$4,301

3. Janney Montgomery Scott
$3,057

4. Stifel, Nicolaus & Company, Incorporated
$2,954

5. Ameriprise
$2,486

View Full List >


HEADLINE NEWS

News

Allianz Fund Collapse Ends With Guilty Plea, $5.8 Billion Payout
(Bloomberg) -- A unit of Allianz SE will plead guilty to fraud and pay $5.8
billion after misrepresenting the risk posed by a group of...
News

Finra Sets Year-End Deadline for More Flexible WFH Rules
Updated to clarify that the proposals have not yet been sent to the SEC and to
add detail on pilot program. Financial Industry Regulatory Authority...
News

Firms Fire High Risk Brokers as Finra Takes Aim at Rogue Actors
Broker-dealers are in some cases firing brokers as the Financial Industry
Regulatory Authority gears up to enforce a new rule targeting firms with a
significant...



DATA & RESOURCES

AH Institute Courses

Resources for you to revisit the basics, brush up on technical topics, or
prepare for an exam.

Podcasts

AdvisorHub delivers the financial podcasts you need to keep your career on
track. Stay informed with the latest from those in the know in the financial
industry.

Deals and Compensation

Research deals, compensation and payouts for wirehouses, RIA’s, independent and
regional firms.


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