News

Wealth Management industry news covering the financial markets, trends and wealth professionals.
Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter.
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Highlights

Top Wealth Management Exec Leaves Securities America

Jan 21, 2021

Paul Lofties, who had been with Securities America since 2003, left the firm in December, and plans to join an advisor coaching and...

Morgan Stanley’s Wealth Assets Up 48% on E*Trade Acquisition

Jan 20, 2021

Morgan Stanley’s wealth management client assets were nearly $4 trillion at the end of the fourth quarter 2020...

Trump Pardons Attorney Sentenced for Obstructing Ponzi Scheme Probe

Jan 20, 2021

The pardon of David Tamman was one of more than 140 pardons and commutations the outgoing president announced...

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Former Magnus Team Creates New RIA Model Leading With Practice Management

Jan 20, 2021

Advisors Michael Brown and Brian Flynn have left Magnus and teamed up with practice management coach Penny Phillips to create Journey Strategic Wealth, a new spin on the aggregator model.

Transparency with Diana B: Battling Lymphoma in the Midst of a Pandemic

Jan 20, 2021

Medical doctors did not take advisor Douglas Duerr’s health warnings seriously. But it’s a good thing he did.

Commonwealth Launches Enhanced Support Offering for Breakaways

Jan 20, 2021

Commonwealth’s new Business Consulting Services will provide dedicated transition support for advisors leaving the wirehouses to go independent.

SEC: Father and Son Duo Misled Investors

Jan 19, 2021

The charges against Michael and David Sztrom were filed late last week and are one of two complaints against advisors related to a California-based RIA.

$2.2B Team Departs William Blair to Go Independent

Jan 19, 2021

The Salvino family has launched Performance Wealth, a registered investment advisor with $2.2 billion in client assets.

Merrill Advisors Reached Record-Setting Figures in 2020

Jan 19, 2021

Merrill advisors made tail winds with deposits, client balances, assets under management and private banking loans.

Celebrity Estates: Jack Cassidy and How Divorce Can Complicate an Estate Plan

Jan 19, 2021

David Cassidy's dad neglected to update his plan in the wake of his second divorce.

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News

Wealth Management industry news covering the financial markets, trends and wealth professionals. Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter. Join today.

Wealth Management industry news covering the financial markets, trends and wealth professionals.
Stay up to date with Wealth Management news and trends through our free Morning Memo e-newsletter.
Join today.