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Comings & Goings: October 2011

James Baber IV has joined the Richmond, Va. office of Janney Montgomery Scott, bringing over $60 million in client assets from Scott & Stringfellow. The broker/dealer also recently expanded its private client group, adding retail offices in Mount Laurel, N.J., and Danvers, Mass. Michael Drumm also came over from Morgan Stanley Smith Barney to serve as vice president and branch manager of the firm's New York office.

Financial technology company CAIS has tapped Landon Stone, former director of Merrill Lynch's alternative investments group, as its new chief operating officer and general counsel. At CAIS, he'll oversee legal, compliance and operational matters.

Henry “Hank” V.M. Multala is the new national business development manager at broker/dealer and RIA Lincoln Investment. Previously, Multala was running his own independent recruiting and consulting firm, and he also served as director of new business development for LPL Financial in Boston.

U.S. Bank has named Jonathan Firestein as head of private capital for Ascent Private Capital Management, U.S. Bank's wealth management group. Firestein will be responsible for building the firm's private capital investment platform for ultra-high-net-worth clients.

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