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.

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.
Ten to Watch 2014—Where Are They Now?
As with any Ten to Watch list, last year’s list was ripe with successes and failures. Here’s an update on where these individuals (and their organizations) are now.
He's At It Again: Schorsch Scoops Up VSR Financial
Nicholas Schorsch's RCAP will buy VSR Financial Services, adding $12.3 billion in assets and 264 advisors to his independent advice platform.
Ladenburg Picks Up Insurance Brokerage for $42 Million
Ladeburg Thalmann picks up Highland Capital Brokerage, a wholesale life insurance brokerage, for $42 million, a deal expected to give its advisors access to better insurance products.
Former LPL Exec Derek Bruton Resurfaces
Derek Bruton, who stepped down from his role as LPL Financial in April, has been named CEO of San Diego-based Lucia Capital Group, a holding company that includes RIAs and a broker/dealer.
Are You Ready for Retirement?
Many advisors are depending on the sale of their business to fund their retirement, according to a survey by CLS Investments. Yet, many practices are worth far less than expected. Here are a few stats on advisors' retirement readiness.
Ameriprise Earnings Growth Lead By Advice and Wealth
Ameriprise Financial reported a 16 percent increase in net income for the second quarter, thanks largely to strong growth its advice and wealth management segment.
LPL CEO: “We Are Not Happy With These Results”
Regulatory fines related to non-traded REITs and annuities put a drag on LPL’s second quarter profits. CEO Mark Casady said it’s not a problem with the way they’re sold, but the way they’re processed.
Cantor Fitzgerald Acquires $120 Million RIA
Cantor Fitzgerald Wealth Partners has acquired Capital Planning Advisory Group, a Yardley, Pa.-based RIA, the sixth team to join the division.
Wirehouse Retention Deals Spur Ray Jay Recruiting
Raymond James added 49 net new advisors in the fiscal third quarter, as wirehouse retention deals start to burn off and reps look to leave.
Another Insurer Exits the B/D Business
Kansas City Life is selling Sunset Financial Services, a 268-rep broker/dealer, to Securities America for an undisclosed amount.
New FINRA Task Force to Review Arbitration
The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to arbitration process, which has long been criticized by many in the advisor industry.
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