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Stifel CEO Ron Kruszewski
RIA
Stifel Unit Acquires $1.3 Billion RIA on the West CoastStifel Unit Acquires $1.3 Billion RIA on the West Coast

The acquisition is part of Stifel’s effort to grow its asset and wealth management business.

byDiana Britton, Managing Editor
Oct 2, 2018
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1 Min Read
Practice Mergers and Acquisitions
RIA
Wells Fargo Group Managing $600 Million Starts RIA, Joins tru IndependenceWells Fargo Group Managing $600 Million Starts RIA, Joins tru Independence
byMichael Thrasher
Oct 2, 2018
1 Min Read
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RIA
LPL’s New Hire Brings Tech Angle to RecruitingLPL’s New Hire Brings Tech Angle to Recruiting
byDiana Britton
Sep 26, 2018
1 Min Read
The Financial Planning Department
RIA
LPL Poaches Another Cetera TeamLPL Poaches Another Cetera Team
byDiana Britton
Sep 24, 2018
1 Min Read
Private Ocean Wealth Management CEO Greg Friedman
RIA
Private Ocean Acquires Fellow Bay Area RIA to Create $2.2 Billion FirmPrivate Ocean Acquires Fellow Bay Area RIA to Create $2.2 Billion Firm
byDavis Janowski
Sep 24, 2018
1 Min Read
An employee at Goldman Sachs.
RIA
Ex-Goldman Sachs Advisor Recruits Top Wealth Managers to Billion-Dollar RIAEx-Goldman Sachs Advisor Recruits Top Wealth Managers to Billion-Dollar RIA
byMichael Thrasher
Sep 24, 2018
1 Min Read
Phillip Frost
RIA
Ladenburg Replaces Chairman Accused of Pump-and-Dump Scheme
Ladenburg Replaces Chairman Accused of Pump-and-Dump Scheme
Sep 21, 2018
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1 Min Read
byDiana Britton, Managing Editor
RW Baird office
RIA
Baird Add Brokers from Morgan Stanley, Wells Fargo
Baird Add Brokers from Morgan Stanley, Wells Fargo
Sep 21, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
SEC seal
RIA
SEC Indicts Husband and Wife of World Tree Financial for “Cherry-Picking” Scheme
SEC Indicts Husband and Wife of World Tree Financial for “Cherry-Picking” Scheme
Sep 21, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Crossroads: Critical Decisions to Evolve an RIA
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Crossroads: Critical Decisions to Evolve an RIA
Crossroads: Critical Decisions to Evolve an RIA
Sep 20, 2018
|
1 Min Read
Ponzi scheme
RIA
Feds Bust $364 Million Ponzi Scheme Targeting Advisors, Family Offices
Feds Bust $364 Million Ponzi Scheme Targeting Advisors, Family Offices
Sep 20, 2018
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1 Min Read
byWealthManagement.com Staff
Jeff Dekko
RIA
Lightyear Capital-Backed Wealth Enhancement Group Acquires $276 Million Firm
Lightyear Capital-Backed Wealth Enhancement Group Acquires $276 Million Firm
Sep 18, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Wealth Managing Industry Awards 2018
RIA
Scenes from the 2018 Wealth Management Industry Awards Gala
Scenes from the 2018 Wealth Management Industry Awards Gala
Sep 17, 2018
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31 Slides
byWealthManagement.com Staff
Larry Roth
RIA
Former IBD CEO Larry Roth Launches Strategic Consultancy
Former IBD CEO Larry Roth Launches Strategic Consultancy
Sep 12, 2018
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1 Min Read
byDiana Britton, Managing Editor
The Bapis Group
RIA
Rockefeller-Backed Firm Lands First Team from HighTower
Rockefeller-Backed Firm Lands First Team from HighTower
Sep 11, 2018
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1 Min Read
byDiana Britton, Managing Editor
Phillip Frost
RIA
Ladenburg Chairman Caught in Pump-and-Dump Scheme
Ladenburg Chairman Caught in Pump-and-Dump Scheme
Sep 10, 2018
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1 Min Read
byDiana Britton, Managing Editor
Jay Peak ski resort
RIA
Former Raymond James Manager Barred from Industry for Ski Resort Fraud
Former Raymond James Manager Barred from Industry for Ski Resort Fraud
Sep 8, 2018
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1 Min Read
byWealthManagement.com Staff
UBS
RIA
A $300 Million UBS Broker, Claiming Gender Bias, Jumps to Rival Morgan Stanley
A $300 Million UBS Broker, Claiming Gender Bias, Jumps to Rival Morgan Stanley
Sep 7, 2018
|
1 Min Read
BNY Mellon
RIA
BNY Mellon Hires Wealth Director for Menlo Park
BNY Mellon Hires Wealth Director for Menlo Park
Sep 5, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
logo in a gray background |
RIA
Morgan Stanley Hires Betterment’s Chief Marketing Officer
Morgan Stanley Hires Betterment’s Chief Marketing Officer
Sep 5, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
compliance.jpg
RIA
$19 Billion Argent Financial Group Hires New Compliance Officer
$19 Billion Argent Financial Group Hires New Compliance Officer
Sep 5, 2018
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1 Min Read
byWealthManagement.com Staff
Live Oak Banks
RIA
Live Oak Bank Starts Its Own RIA
Live Oak Bank Starts Its Own RIA
Sep 4, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
handcuffs money
RIA
"Fat Finger" Mistakes Add Up To Potential Jail Time
"Fat Finger" Mistakes Add Up To Potential Jail Time
Aug 24, 2018
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
Wealthstone CEO Norm Cook
RIA
Norm Cook Leaves Halite Partners for $635 Million RIA WealthStone
Norm Cook Leaves Halite Partners for $635 Million RIA WealthStone
Aug 23, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Raymond James
RIA
Raymond James Gains New York Team Managing over $1 Billion
Raymond James Gains New York Team Managing over $1 Billion
Aug 23, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
LJPR Financial Advisors CEO Leon LeBrecque (left) and Sequoia Financial Group President Tom Haught
RIA
Midwest RIAs Merge to Form $5 Billion Firm
Midwest RIAs Merge to Form $5 Billion Firm
Aug 22, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
raymond-james
RIA
Brokerage Trio Managing $235 Million Joins Raymond James
Brokerage Trio Managing $235 Million Joins Raymond James
Aug 21, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Hightower Advisors CEO Elliot Weissbluth
RIA
HighTower Advisors Founder and CEO Elliot Weissbluth Steps Down
HighTower Advisors Founder and CEO Elliot Weissbluth Steps Down
Aug 20, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
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RIA
Securities America Advisor Accused of Ponzi Scheme, Stealing Pension Money
Securities America Advisor Accused of Ponzi Scheme, Stealing Pension Money
Aug 17, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
Kate Danella and Leslie Carter-Prall
RIA
Leslie Carter-Prall Named Regions Bank Head of Private Wealth Management
Leslie Carter-Prall Named Regions Bank Head of Private Wealth Management
Aug 16, 2018
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1 Min Read
byWealthManagement.com Staff
A Raymond James building.
RIA
Brokerage Duo Managing $462 Million Joins Raymond James
Brokerage Duo Managing $462 Million Joins Raymond James
Aug 10, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
RobArnott
RIA
Rob Arnott Steps Down as Research Affiliates CEO
Rob Arnott Steps Down as Research Affiliates CEO
Aug 10, 2018
|
1 Min Read
bySamuel Steinberger, Senior Technology Editor
Wealthfront CEO Adam Nash
RIA
Former Wealthfront CEO Adam Nash Joins Dropbox
Former Wealthfront CEO Adam Nash Joins Dropbox
Aug 9, 2018
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1 Min Read
bySamuel Steinberger, Senior Technology Editor
RW Baird office
RIA
Baird Names Successor to Retiring COO
Baird Names Successor to Retiring COO
Aug 9, 2018
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1 Min Read
byMichael Thrasher, Staff Writer
SEC Seal
RIA
Trump Is Likely to Nominate Allison Lee as SEC Commissioner, Sources Say
Trump Is Likely to Nominate Allison Lee as SEC Commissioner, Sources Say
Aug 6, 2018
|
1 Min Read

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