Diana Britton

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.

Articles
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.
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.
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