Diana Britton

Managing Editor

Diana Britton is the Managing Editor of WealthManagement.com and REP. Magazine, covering asset management and independent broker/dealers from all angles. A native of Los Angeles, she now lives in Queens, N.Y.

Advisors Say ISIS Is Biggest Geopolitical Risk 2
Advisors are responding to geopolitical conflicts—with ISIS seen as the biggest threat— by backing away from riskier assets and underweighting international markets in their clients’ portfolios.
In Practice Acquisitions, Avoid the Shotgun Wedding
Picking up a book from the guy down the street may make for a quick acquisition, but not a successful one, says a new NFP/Aite Group survey.
One Strike, You’re Out
FINRA’s looking more closely at IBDs with high-risk brokers, and many firms are tightening up their recruiting practices as a result. That could leave many advisors without a home.
The Evolution of RCAP
After months of uncertainty over how RCS Capital Corp. would structure its recently acquired independent broker/dealers, the firm announced plans last month to bring them all under Cetera Financial Group.
NFP Scoops Up Former Financial Telesis Advisors
NFP Advisor Services has added over 60 retirement plan advisors, the majority of whom came from Financial Telesis, which was recently acquired by LPL Financial.
United Capital Builds New Office in HighTower’s Backyard
Long in the business of acquiring RIAs, United Capital is taking a different tack to achieve growth, with the debut of its first office from scratch in Chicago.
Ten to Watch: Lee Kranefuss
The U.S. ETF market is a crowded place; 80 percent of the assets are tied to three firms—iShares, Vanguard and State Street. So getting a slice of the market is a daunting task, but Lee Kranefuss, "the father of ETFs" knows his way around the territory.
Is the Cyber Sweep Too Much to Handle?
The recent regulatory focus on cyber security could be a rude awakening for many advisors. For most, it will require outside help and added costs.
Schorsch Scores Another IBD
Just a week after its acquisition of VSR, RCAP signed a deal to buy San Diego-based Girard Securities, bringing the firm’s total b/d network to 9,700 advisors.
Ten to Watch: Jane Jarcho
Most investment advisors don't have to worry about being audited too often. The Securities and Exchange Commission only examines 9 percent of its registrants per year, and 40 percent of advisors have never gone through an SEC examination. But Jane Jarcho, head of exams for investment advisors and investment companies, is trying hard to change that.
Cetera Will Be The Face of Schorsch's B/D Network
After months of uncertainty over how RCS Capital Corp. would structure its recently acquired independent broker/dealers, the firm said today its b/ds will operate under Cetera Financial Group, and many middle- and back-office functions will be centralized.
Consolidation 2014: Ladenburg to Buy KMS Financial for $24 Million
Ladenburg Thalmann will buy Seattle-based KMS Financial Services for $24 million, bringing its independent business to 3,500 advisors and $110 billion in client assets.
Ten to Watch: Richard J. Hagen Jr.
With all of the discount online brokerages and so-called “robo-advisors” out there—online advice platforms trying to replace flesh-and-blood advisors, to greater or lesser degrees—you’d think it would be difficult for a new player to make an impact. But Rich Hagen isn’t a new player.
Ten to Watch: Erinn Ford
When Pacific West Securities decided it was time to close its doors and move its reps to Cetera Advisors, Erinn Ford, then Pacific West’s chief operating officer and head of marketing, handled the situation gracefully, by all accounts.
RCAP’s Profit Jumps 12% as B/Ds Are Integrated
On the heels of buying VSR Financial, Nicholas Schorsch's RCAP announced a second quarter profit increase of 12 percent as the firm integrates all of its previous b/d acquisitions.
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