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 * News
     
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       * * Finra Sets Year-End Deadline for More Flexible WFH Rules
       * * Firms Fire High Risk Brokers as Finra Takes Aim at Rogue Actors
       * * Bill Hwang Seeks Probe of Morgan Stanley in Costly Short Squeeze
       * * Bitcoin’s Plunge Exposes Idea of Uncorrelated Asset as ‘Big Lie’
         
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     * Advisor Moves
         
       * * Rockefeller Swipes $17-Mln Morgan Stanley Broker Out from Under First
           Republic
       * * 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
       * * West Coast Hoppers: UBS Loses $3.8M Duo to Ameriprise, $1M-Plus
           Producers to Sanctuary and Wells
         
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       * * Firms Fire High Risk Brokers as Finra Takes Aim at Rogue Actors
       * * Finra Suspends Ex-Morgan Stanley Broker Who Hyped ‘Exclusive’ Venture
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       * `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
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Search for: Search

Finra Sets Year-End Deadline for More Flexible WFH Rules
Firms Fire High Risk Brokers as Finra Takes Aim at Rogue Actors
Bill Hwang Seeks Probe of Morgan Stanley in Costly Short Squeeze


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

Bitcoin’s Plunge Exposes Idea of Uncorrelated Asset as ‘Big Lie’


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

Benjamin F. Edwards: Grin and Bear It
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...
Markets Resource

Benjamin F. Edwards: If You Don’t Like the Weather Now…
A single word sums up the markets last week – wild. The busiest week of the
2nd quarter earnings season, several headline worthy employment figures
released,...
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

Alex David is Poised to Make a Difference for Independents
Alex David has been approached before. People of color, or those from the LBGTQ
community, ask him what is the best way to break into...


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. Alaris Acquisitions
May 11, 2022
2. RBC Wealth Management
Dec 29, 2021
3. Stifel
Nov 14, 2016
4. Benjamin F. Edwards
Sep 13, 2021
5. Edwards Wealth Management
Sep 13, 2021
6. Kestra Private Wealth Services
Jun 22, 2021
7. B. Riley Wealth Management
Aug 9, 2018
8. Mariner Wealth Advisors
Jul 14, 2020
9. First Clearing
Jun 2, 2021
10. D.A. Davidson
Mar 14, 2018
11. Dynasty Financial Partners
Nov 14, 2016
12. Ameriprise Advisor Group
Jun 22, 2021
13. Ameriprise Independent Advisors
Jun 22, 2021
14. Pinnacle Investments
Jun 9, 2021
15. Janney
Nov 14, 2016
16. LPL Financial
Nov 14, 2016
17. Mariner Platform Solutions
Jul 14, 2020
18. Prudential Advisors
Aug 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. Focus Financial Board Member Sues J.P. Morgan over $7M in Pandemic Losses
May 12, 2022
2. UBS Alleges Ex-Broker in Texas Stole $17 Million From Customers
May 12, 2022
3. Rockefeller Swipes $17-Mln Morgan Stanley Broker Out from Under First
Republic
May 11, 2022
4. Million-Dollar Merrill Producers Jump to Wells in New England and RBC in
Illinois
Mar 25, 2022
5. Citi Broker Who Joined Morgan Stanley in NYC Agrees to Non-Solicit Ban
Mar 25, 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

Powered by  

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

Domestic Partner of Late UBS Complex Director Reignites Inheritance Battle
The domestic partner of a UBS Wealth Management USA complex director who died in
2019 at the age of 48 has filed a lawsuit against...
News

Finra Suspends Ex-Morgan Stanley Broker Who Hyped ‘Exclusive’ Venture Capital
Investment
The Financial Industry Regulatory Authority has come down on a former Morgan
Stanley broker in Beverly Hills, California, over alleged misleading marketing
of a private...
News

John Manley, Wells Fargo and Smith Barney Strategist, Dies at 68
(Bloomberg) -- John Manley, an equity strategist who was renowned on Wall Street
as much for his sharp wit as his takes on the market,...



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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