Christian Habitz and Sarah Damsgaard
Former $1B AUM JP Morgan Brother-Sister Team Launches RIA With Dynasty
May 26, 2021
The duo, which oversaw more than $1 billion at JP Morgan, launches The Invictus Collective with backing of Dynasty Financial Partners.
FINRA
FINRA Planning to Hike Fees in 2022
May 25, 2021
The regulatory agency said member firms should see fees increase starting next year, even as the number of registered reps continues to decline.
LPL Financial
NJ Team Managing $275M Joins LPL Financial from First Allied
May 25, 2021
The new team is led by Craig Zaleck and Mark Hogan who are based in Bayonne, N.J.
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SEC Bars Broker For Churning Client Accounts
May 25, 2021
The commission claimed Emil Botvinnik urged clients to make short-term investments that made him millions in commissions and other fees.
Robert Brockman
Billionaire’s $15 Million Fishing Lodge Faces Seizure in Record Tax Case
May 25, 2021
The U.S. government claims Robert Brockman failed to report $2 billion of income.
Inside The Deal Podcast Harris Baltch Marty Bicknell
Inside the Deal M&A Podcast Part 3: Closing
May 25, 2021
Harris Baltch, Dynasty Head of M&A and Capital Strategies, is joined by Marty Bicknell, CEO of Mariner Wealth Advisors, to discuss how to negotiate and close RIA M&A successfully. Join the two as they delve into how to close deals in a virtual...
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Dynasty's Procyon Partners, Pivotal Planning Group to Merge
May 25, 2021
The merger—the first among two Dynasty Financial Partners firms—will create a $4.5 billion RIA with 24 employees and four offices.
Merrill’s New Training Program to Focus on Developing Bank Talent
Merrill’s New Training Program to Focus on Developing Bank Talent
May 24, 2021
The new program will also include a ban on cold-calling and a shorter period to complete the program, from 36 to 18 months.
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