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          • Reading financial newsThis Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More
          • Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA
          • Dining expenseFinra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
          • Employee ApplauseFocus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale
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      • Advisor Moves
          • Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA
          • Bonus for financial advisorRayJay Details Recruiting Offer Hikes, Drops Some Clawback Provisions
          • Montgomery, Alabama.Merrill Lifer and His $4.4-Mln Alabama Team Jump to Morgan Stanley
          • Advisor considering independenceExclusive: Rockefeller Lures Merrill Private Wealth Regional Head in Chicago
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          • Dining expenseFinra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse
          • Judge rulesFinra Bars Ex-Wells Broker Who Raised $3.5-Mln For Software Company
          • Advisor fraudFinra Suspends Former NJ Broker Who Borrowed from Clients to Pay Debts
          • Finra rulingArbitrator Grants Ex-Merrill Bank Broker’s Expungement, Calls Firing ‘Reckless’
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        • `Nothing Safer Than Cash’: Tech Rout Puts Silicon Valley on Edge
        • ‘Any News Is Bad News’ as Earnings Fail to Save Equity Bulls
        • ‘50 Cent’ Profited From Volatility Jump, Wells Fargo Says
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          • Opinion-How-Will-The-Coronavirus-Affect-The-Stock-Market-Opinion: Coronavirus – What Advisors Need to Know
          • opinion-investors-conquered-fees-next-up-is-their-own-behaviorOpinion: Investors Conquered Fees but Not Their Own Behavior
          • Investor-Confidence-In-Stocks-Rightly-Declines-Opinion-772x485Investor Confidence in Stocks Rightly Declines: Opinion
          • Opinion-Schwabs-Zero-Commission-Decision-Challenges-Its-Ria-ClientsOpinion: Schwab’s Zero Commission Decision Challenges Its RIA Clients
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          • Fintech Cryptocurrency ClearingFintech Firm Apex Clearing Agrees to Go Public Via SPAC
          • System outageMerrill Systems Hiccuped on Thursday as Stocks Slid
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          • 2021 PredictionsFrom the Publisher: Sirianni’s Predictions for 2021
          • Josh Rogers – 772×485Seven Questions with Tony Sirianni: Josh Rogers, Founder and CEO, Arete Wealth
          • Phil Hildebrandt — 772×485Seven Questions with Tony Sirianni: Phil Hildebrandt, Principal, CEO of Segall Bryant & Hamill
          • Christian Hyldahl, President of Varium Investment Partners-772×485An AdvisorHub Interview with Christian Hyldahl, President of Varium Investment Partners
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Breakaway Center

Merrill advisors Alpesh R. Patel, Matthew Birkett and Darren Siegrist moved to Rockefeller along with client associates Hai Dang and Chris Iwamasa.
2/26/21 | Advisor Moves, Breakaway Center, News | Merrill, Rockefeller Capital Management | 16 Comments

Merrill Loses $3-Mln Team to Rockefeller in CA, $2-Mln Group to Texas RIA

Advisor Soliciting Clients
JP Morgan, LPL

J.P. Morgan Chases Another Bank Broker Who Joined LPL

2/18/21 | Breakaway Center, News | 4 Comments

New Orleans-area advisor who was managing $145 million at a Chase branch allegedly violated employment agreements by soliciting former clients.

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Breakaway Broker, Chase Bank, JPMorgan, law, Louisiana, LPL
Brendan Biruk, Leslie Crilley and Dan Rattigan (left to right) of Washington Crossing Financial Group.
LPL, UBS

LPL Reels in UBS Pennsylvania Team with $245 Million Book

1/26/21 | Advisor Moves, Breakaway Center, News | 3 Comments

Wirehouse veterans broke away last week to launch their own practice, Washington Crossing Financial Group, named for the town where they are based.

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Advisor Move, Breakaway Broker, LPL Financial, Pennsylvania, RIA, UBS
Lars Olson of Sanctuary Wealth Partners in Marion, OH
Merrill, Sanctuary, Snowden Lane

Sanctuary Hires $435-Mln Merrill Team, Snowden Lures Another from Retirement

1/12/21 | Advisor Moves, Breakaway Center, News | 5 Comments

Independent broker-dealer Sanctuary has landed its 42nd team since its 2018 launch while Snowden says it wooed a former billion-dollar Merrill broker back to the business.

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RIA
Financial Advisor Moves
Bank of America, Merrill, Raymond James, UBS

Merrill Loses $2.8-Mln Producer to UBS, $2-Mln Team to Independence

12/28/20 | Advisor Moves, Breakaway Center, News | 39 Comments

Advisors in Louisiana and New Jersey left Merrill after about two decades.

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Mark Pomerantz and Andrreew Hutcheson
Alex. Brown, LPL, Raymond James, Rockefeller Capital Management, Wedbush

Wirehouse Advisors in Florida, L.A. Jump to ‘Boutiques’ Rockefeller, Alex. Brown

12/17/20 | Advisor Moves, Breakaway Center, News | 1 Comment

Broker with more than two decades of experience at Morgan Stanley joins Rockefeller’s fledgling Boca office and 39-year California advisor signs on with RayJay’s Alex. Brown.

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Arete Wealth

Seven Questions with Tony Sirianni: Josh Rogers, Founder and CEO, Arete Wealth

12/15/20 | Breakaway Center, From the Publisher

The last few months have been unprecedented and unexpected, a perfect storm if you will, of management challenges both on…

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Seven Questions
Advisor filing lawsuit
LPL, Wells Fargo

Wells Broker Leaves for LPL, Sues to Fend Off TRO

12/15/20 | Advisor Moves, Breakaway Center, News | 7 Comments

Wirehouse veteran in San Diego preemptively asks court to prohibit Wells from suing him the same day he registers as an independent broker.

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EdgeCo, Private Wealth Partners, UBS

$20-Million UBS Team Jumps to Start RIA

12/14/20 | Advisor Moves, Breakaway Center, News | 6 Comments

A twelve-person “private wealth” group in Manhattan overseeing more than $4 billion for ultra-wealthy families join a firm affiliated with former private wealth executive John Straus.

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Producing manager Amir Monsefi left Merrill along with his partner Sharon Nassir to launch their own RIA.
Merrill

Merrill Manager and Colleague in L.A. Break Away

12/10/20 | Advisor Moves, Breakaway Center, News | 14 Comments

Veterans of the brokerage world for more than 25 years give up their licenses to form a fee-only RIA in Beverly Hills.

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Tony Sirianni Podcast Banner

CORONACRASH NEWS

  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021
  • Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Finra Bars Ex-Wells Broker Accused of Improperly Seeking Virus Relief Loan

    Feb 12, 2021
  • RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    RayJay Private Client Profit Dips 8%, Employee Channel Recruiting Slips

    Jan 28, 2021
  • Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Finra Scrutinizes Brokers Who Took PPP Loans for Potential Violations

    Jan 25, 2021

NEWS

  • This Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More

    This Week’s Top 5: NBA Star’s Suit Against Morgan Stanley, RayJay Ups Recruiting Ante, and More

    Feb 27, 2021
  • Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse

    Finra Dings Ex-Morgan Stanley Broker in Los Angeles over Expense Lapse

    Feb 26, 2021
  • Focus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale

    Focus Financial’s PE Backers Eye $323 Million Pay Day with Stock Sale

    Feb 26, 2021
  • Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Big U.S. Banks’ Vows to Halt Job Cuts End as Virus Endures

    Feb 26, 2021
  • Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Raymond James Executive: We’re Open to Flexible Work Arrangements for Advisors

    Feb 25, 2021

Recruiting Winners: 2020 Year in Review

FINANCIAL INDUSTRY PODCASTS

AllIndependence
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
Michael Kitces and Carl Richards discuss financial advising topics.
The “new advice value stack,” and how firms can use it to help maximize their own value propositions for their clients.
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.
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.
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.
Our goal is to unlock the challenges to reveal the opportunities and what it means to provide advice in the 21st century.
Go behind the scenes with registered investment advisors and other related independent business model experts
As a nationally recognized recruiter and consultant to financial advisors, Mindy Diamond has unmatched experience in introducing advisors to the independent space.
The must listen-to podcast for investors, venture capitalists and financial advisors, with Tony Sirianni and Paul Dietrich.
An Introduction to Independence: 5 Key Episodes to Jumpstart Your Knowledgebase
Jay is an investment strategist, CERTIFIED FINANCIAL PLANNER™ and business consultant to financial advisors.
We interview top financial advisors and visionary voices to bring you the strategies, tips, and tools you need to make a difference in people’s lives.
A financial literacy and commentary show that features a number of investors, financial experts, professional athletes, business owners and more.
Join Sound Financial Group CEO Paul Adams and President Cory Shepherd every week, as they help you Design and Build a Good Life™.
The Kuderna Podcast, focusing on wealth in it's original meaning- a state of well being.
Timeless wisdom, actionable information you can use right now to make smarter investment decisions.
Made for and dedicated to those folks serious about their financial plan.
Suzanne Siracuse asks the questions nobody else asks, as influencers and interviewer collide in her new and truly unique podcast series The Big Reveal.
Our webcast is dedicated to helping our viewers get real insights by avoiding the cognitive dissonance of today’s media outlets and biased editorial filters.

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