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Dwayne Calton
RIA
Tampa-Based IBD to Absorb Zombie FirmTampa-Based IBD to Absorb Zombie Firm

Calton & Associates has filed for an asset purchase of accounts that choose to come over from Capital Financial Services, which has some compliance baggage.

byDiana Britton, Managing Editor
Mar 20, 2019
|
1 Min Read
oil gas pumps
RIA
RIAs Charged for 'Gambling' With Client MoneyRIAs Charged for 'Gambling' With Client Money
byMichael Thrasher
Mar 20, 2019
1 Min Read
Anthony Scaramucci
RIA
Anthony Scaramucci Revives the SALT ConferenceAnthony Scaramucci Revives the SALT Conference
byWealthManagement.com Staff
Mar 15, 2019
1 Min Read
A Merrill Lynch sign.
RIA
Merrill Lynch Promotes Carole Wentz to Lead 3,300-Advisor Brokerage DivisionMerrill Lynch Promotes Carole Wentz to Lead 3,300-Advisor Brokerage Division
byMichael Thrasher
Mar 15, 2019
1 Min Read
Melissa Bean
RIA
Mesirow Hires JPMorgan's Melissa Bean to Lead $29 Billion Wealth UnitMesirow Hires JPMorgan's Melissa Bean to Lead $29 Billion Wealth Unit
byMichael Thrasher
Mar 14, 2019
1 Min Read
Wedbush securities
RIA
Wedbush Securities Names Christopher Mone Head of Wealth ManagementWedbush Securities Names Christopher Mone Head of Wealth Management
byMichael Thrasher
Mar 14, 2019
1 Min Read
businessman handcuffs money
RIA
SEC Charges Texas Radio Host for $19.6 Million Ponzi Scheme
SEC Charges Texas Radio Host for $19.6 Million Ponzi Scheme
Mar 13, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
Wells Fargo CEO Tim Sloan
RIA
Wells Fargo’s CEO Dodges Fiduciary Question
Wells Fargo’s CEO Dodges Fiduciary Question
Mar 12, 2019
|
1 Min Read
byDiana Britton, Managing Editor
Mercer Advisors
RIA
Mercer Advisors Acquires Colorado RIA, Says M&A Activity Remains Strong
Mercer Advisors Acquires Colorado RIA, Says M&A Activity Remains Strong
Mar 8, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
Eric Trump and Donald Trump Jr.
RIA
Financial Advisor Caught Up in Trump Controversy Over Undocumented Workers
Financial Advisor Caught Up in Trump Controversy Over Undocumented Workers
Mar 8, 2019
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1 Min Read
byDavis Janowski, Senior Technology Editor, WealthManagement.com
Frazer Rice
RIA
Advisor Overseeing $11 Billion Joins Calamos Wealth Management
Advisor Overseeing $11 Billion Joins Calamos Wealth Management
Mar 7, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
Cetera building
RIA
Cetera Nabs Team Focused on Working Class from LPL
Cetera Nabs Team Focused on Working Class from LPL
Mar 7, 2019
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1 Min Read
byDiana Britton, Managing Editor
LifeYield's office.
RIA
Carson Group CMO Joins LifeYield’s Advisory Board
Carson Group CMO Joins LifeYield’s Advisory Board
Mar 6, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
rising money
RIA
Credit Union-Focused B/D Announces Record 2018 Revenue
Credit Union-Focused B/D Announces Record 2018 Revenue
Mar 5, 2019
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1 Min Read
byDiana Britton, Managing Editor
Rockefeller Center in New York.
RIA
Merrill Lynch CTO Leaving for Rockefeller Capital Management
Merrill Lynch CTO Leaving for Rockefeller Capital Management
Mar 4, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
Bill Gross
RIA
Taxes, Deficits and Asperger's: The Bill Gross You Didn't Know
Taxes, Deficits and Asperger's: The Bill Gross You Didn't Know
Mar 1, 2019
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1 Min Read
Florida
RIA
Dynasty Hires Raymond James Veteran to Run New Florida Headquarters
Dynasty Hires Raymond James Veteran to Run New Florida Headquarters
Mar 1, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
Robert Moore and Ben Brigeman
RIA
Robert Moore to Step Down as CEO of Cetera
Robert Moore to Step Down as CEO of Cetera
Feb 20, 2019
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1 Min Read
byDiana Britton, Managing Editor
Perry Mattern
RIA
Why A Broker Intentionally Left $50 Million at Wells Fargo to Join Its RIA Channel
Why A Broker Intentionally Left $50 Million at Wells Fargo to Join Its RIA Channel
Feb 16, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
Kestra sign
RIA
Warburg Pincus Appears Close to Signing Kestra Deal, Sources Said
Warburg Pincus Appears Close to Signing Kestra Deal, Sources Said
Feb 16, 2019
|
1 Min Read
byDiana Britton, Managing Editor
hightower
RIA
HighTower Buys Stake in $2.6 Billion RIA
HighTower Buys Stake in $2.6 Billion RIA
Feb 16, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
focus financial
RIA
Boston RIA, With $1.4 Billion in AUM, Partners With Focus Financial
Boston RIA, With $1.4 Billion in AUM, Partners With Focus Financial
Feb 11, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
Cetera Financial Group
RIA
As Cetera Looks to Acquire, Advisors Grow Frustrated
As Cetera Looks to Acquire, Advisors Grow Frustrated
Feb 9, 2019
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1 Min Read
byDiana Britton, Managing Editor
Tim Hockey and Tom Nally
RIA
TDAI LINC: Hockey Assures RIAs TD Ameritrade Isn't Eyeing Their Clients
TDAI LINC: Hockey Assures RIAs TD Ameritrade Isn't Eyeing Their Clients
Feb 8, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
tug of war
RIA
Battle of the IFPs: One LPL OSJ Recruits Four Teams From Another
Battle of the IFPs: One LPL OSJ Recruits Four Teams From Another
Feb 7, 2019
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1 Min Read
byDiana Britton, Managing Editor
Rockefeller Center in New York.
RIA
Timothy O'Hara Leaves Ayco for Rockefeller Capital Management
Timothy O'Hara Leaves Ayco for Rockefeller Capital Management
Feb 6, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
Bill Rudnick
RIA
Cresset Hires DLA Piper Partner Bill Rudnick as General Counsel
Cresset Hires DLA Piper Partner Bill Rudnick as General Counsel
Feb 6, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
digital key
RIA
Cryptocurrency Exchange Loses Password, Access to $190 Million
Cryptocurrency Exchange Loses Password, Access to $190 Million
Feb 5, 2019
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1 Min Read
byDavid H. Lenok, Senior Editor
Bill Gross
RIA
Bill Gross Says Decision to Retire Was His Own, Proud of Legacy
Bill Gross Says Decision to Retire Was His Own, Proud of Legacy
Feb 4, 2019
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1 Min Read
Greg Friedman, Shaun Kapusinski
RIA
Greg Friedman, Shaun Kapusinski Co-Author Book on Advisor M&A
Greg Friedman, Shaun Kapusinski Co-Author Book on Advisor M&A
Feb 2, 2019
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1 Min Read
byMichael Thrasher, Staff Writer
JPMorgan Chase
RIA
JPMorgan Says Barry Sommers Leaves Wealth Management Job
JPMorgan Says Barry Sommers Leaves Wealth Management Job
Jan 30, 2019
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1 Min Read
byReuters
Wells Fargo
RIA
Wells Fargo Details Plan to Serve Independent RIAs
Wells Fargo Details Plan to Serve Independent RIAs
Jan 30, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer
government shutdown
RIA
Government Shutdown Delays the Move to Independence for Some Advisors
Government Shutdown Delays the Move to Independence for Some Advisors
Jan 26, 2019
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1 Min Read
byDiana Britton, Managing Editor
Wealth Enhancement Group
RIA
Wealth Enhancement Group Acquires 10th RIA in Five Years
Wealth Enhancement Group Acquires 10th RIA in Five Years
Jan 26, 2019
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1 Min Read
byWealthManagement.com Staff
advisor phone money
RIA
Morgan Stanley Group Managing $650 Million Founds New RIA
Morgan Stanley Group Managing $650 Million Founds New RIA
Jan 25, 2019
|
1 Min Read
byMichael Thrasher, Staff Writer

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