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Development

Written by robert
April 19, 2022

First Republic Signs $17-Million Mega Producer from Morgan Stanley in California

San Francisco-based First Republic Bank has scooped up a top California producer from Morgan Stanley Wealth Management, according to multiple sources familiar with the matter.  Cheryl L. Young, whose team is based in Los Gatos, gave notice on Monday and is expected to officially join First Republic following a 90-day “garden leave” transition period that

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Written by robert
March 14, 2022

Rockefeller Nabs $4.1 Million Family Team from Morgan Stanley in Atlanta

Rockefeller Capital Management has pulled another high-producing team from its larger wirehouse competitors, this time nabbing a $4.1 million family team from Morgan Stanley in Atlanta.  The five-person team managed $650 million in assets and is led by Michael Scarbrough, who spent the last 35 years of his 38-year career with Morgan Stanley and predecessor

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Written by robert
March 3, 2022

Merrill Reshuffles NYC Market Leaders, Loses Houston Manager to Morgan Stanley

Merrill Lynch is shifting field leaders around its key New York City market while a veteran market executive has jumped ship in Houston.  As part of the New York moves, which fill a gap left by a year-end reorganization, longtime manager Dwight Mathis is moving from the Long Island East market to take over Merrill’s Rockefeller

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Written by robert
February 22, 2022

Another Mile High Move: $5.2-Mln Merrill Team Departs for UBS in Colorado

A Merrill Lynch team in Denver jumped to UBS Wealth Management USA on Friday marking at least the third multi-million dollar exit from the ‘thundering herd’ and the second big Colorado departure ahead of the holiday weekend.   The group, led by Merrill lifer Mark T. Gregory and his partner Lawrence “Ty” Toriello, had been generating

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Written by robert
February 18, 2022 0 Comments

J.P. Morgan Ordered to Pay Ex-Bank Broker $1.4M in Defamation Case

In a rare David vs. Goliath win for a broker in a firm defamation case, an ex-J.P. Morgan Chase private client advisor was granted authorization to clear his record of a termination notice and also awarded $1.4 million for his trouble, according to a Financial Industry Regulatory Authority arbitration award issued this week.  The three-person

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Written by robert
February 8, 2022 0 Comments

Wirehouse Productivity Outpaces RIAs, but Market Share Falters

Check out a report by Boston-based research firm Cerulli Associates offering a striking snapshot of advisor productivity, measured by average assets under management per advisor. Read More

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Written by robert
January 24, 2022 0 Comments

Dynasty Financial Partners Files for IPO

Dynasty Financial Partners filed for an initial public offering, according to a new regulatory filing with the Securities and Exchange Commission.

The firm seeks to raise up to $100 million, according to the filing, though the figure is considered a placeholder that can change as Dynasty provides more information.

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Written by robert
January 7, 2022 0 Comments

$18MM UBS Team Led by Forbes 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 launch its own registered investment advisory firm, according to a source familiar with the move and registration records. The group, led by Tony R. Smith, who ranked third on Forbes’

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Written by robert
December 1, 2021 0 Comments

Edward Jones’ Headcount Slips As Firm Continues To Tweak Model

Edward Jones & Co’s broker count slipped for the third sequential quarter as the firm warned that the trend will likely persist as it experiments with new growth strategies and tweaks to its model. The St. Louis-based brokerage had 18,829 financial advisors as of Sept. 24, down about 2.7% from 19,342 last year, according to

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Written by robert
November 18, 2021 0 Comments

UBS Retools Broker Pay Grid and Bonuses, Raises Pressure on Low Producers

UBS Wealth Management USA is introducing today a new payout grid that will overhaul its payout formula for its roughly 6,000 brokers next year to simplify its bonus structure and also raise the so-called ‘penalty box’ threshold for low producers, according to a copy of the plan reviewed by AdvisorHub. As part of the changes,

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Recent Posts

  • First Republic Signs $17-Million Mega Producer from Morgan Stanley in California
  • Rockefeller Nabs $4.1 Million Family Team from Morgan Stanley in Atlanta
  • Christiana Lovelace, AAMS® Leaves Edward Jones To Open Diamond Pointe Financial In Hickory, North Carolina
  • Merrill Reshuffles NYC Market Leaders, Loses Houston Manager to Morgan Stanley
  • Another Mile High Move: $5.2-Mln Merrill Team Departs for UBS in Colorado

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