Wealth Management industry news covering the financial markets, trends and wealth professionals.
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A lot can happen in one year: the Winter Olympics in Russia, the implementation of Obamacare, and global unrest in the Ukraine, Syria, Iraq and Israel. While all that was going on, these individuals were out there pounding the pavement, trying to...
Nicholas Schorsch has done it again. The executive chairman of RCS Capital Corp. (RCAP) has acquired independent broker/dealer VSR Financial Services, adding $12.3 billion in assets under administration and 264 advisors to RCAP’s independent...
Industry coaches are always stressing the power of referrals. And true, passive referrals from existing clients was the top marketing method for attracting new clients in 2013, according to WealthManagement.com’s AdvisorBenchmarking RIA...
The future is up for grabs, shaped by innovators, renegades and entrenched players finding new areas of endeavor to mark as their own. Every year, REP. magazine surveys the landscape to find the 10 individuals whose names may be unfamiliar to you...
Every year, REP. magazine surveys the landscape to find the 10 individuals whose names may be unfamiliar to you now, but who are poised to shake up the industry...
A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.” Michael A. Horowitz agreed to pay $850,000 to settle charges by the Securities Exchange Commission that he constructed a scheme...
Derek Bruton, the former head of LPL Financial’s independent advisor services, has landed at San Diego, Calif.-based Lucia Capital Group, a holding company that includes an RIA, an affiliated RIA, and a broker/dealer, and will be serving as...