Gregory Fleming
Rockefeller Scores $1.9 Billion AUM Boston Team
May 17, 2021
The addition of Knowlton, Knowlton, & Larsen creates Rockefeller’s first private wealth team in Boston.
Dale Brown FSI OneVoice
FSI Sues DOL Over Independent Contractor Rule Withdrawal
May 14, 2021
The group is joining other plaintiffs in a suit filed in a Texas federal court, with CEO and President Dale Brown claiming the DOL's decision was 'hasty and arbitrary' and would be detrimental to independent financial advisors.
puzzle
This Week in Wealth Management M&A Deals
May 14, 2021
The mergers, acquisitions and deals you may have missed the week of May 10, 2021.
vanguardgroup-1.jpg
Vanguard to Open Dallas Office as Texas Becomes a Hotbed
May 14, 2021
The Dallas-Fort Worth outpost will accommodate financial advisers and tech-support staff.
Goldman Sachs trading desk Wall Street
Goldman’s Brand Could Be Its Biggest Benefit—or Achilles’ Heel—in Attracting RIAs
May 14, 2021
Goldman Sachs has been quietly building RIA custodial services behind the scenes, with big-name hires and plenty of resources; but can it overcome its Wall Street heritage to appeal to independent advisors?
Brian Hamburger and Sharron Ash
As RIAs Grow, So Do Employment-Related Issues
May 13, 2021
Legal issues related to hiring—and firing—advisors are becoming more commonplace, says RIA counselor Brian Hamburger.
fortescue-mendenhall.jpg
Merchant-Backed Legacy One to Merge With U.S. Capital Advisors' RIA
May 13, 2021
U.S. Capital Advisors plans to merge its RIA business with Legacy One to create a $5.6 billion Texas RIA.
Inside The Deal Podcast Harris Baltch Liz Nesvold
Inside the Deal M&A Podcast Part 2: Execution
May 13, 2021
Zero in on RIA deal execution behind closed doors and learn best practices for RIAs contemplating a sale. Harris Baltch, Dynasty's Head of M&A and Capital Strategies, is joined by Liz Nesvold, Managing Director and Head of Raymond James' Asset and...
Goldman Sachs
Wall Street’s Grip on Secret Harassment Hearings Starts to Crack
May 12, 2021
Many financial services firms want to preserve arbitration, saying it’s the best way to resolve conflicts.
Schwabitrade TD Ameritrade Charles Schwab
More TD Ameritrade Execs Get the Boot at Schwab
May 12, 2021
In the latest round of layoffs in the wake of Schwab's ongoing integration of TD Ameritrade, TDAI executives Vanessa Oligino, Greg Menefee and Scott Leak are shown the door.
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